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- Tasks: Lead compliance for a cutting-edge pension platform and ensure regulatory robustness.
- Company: Join a next-gen pension tech firm backed by a top FinTech VC fund.
- Benefits: Enjoy flexible remote work options and competitive salary with equity.
- Why this job: Be the first Compliance hire and shape the future of financial advice in the UK.
- Qualifications: Must have strong pensions compliance experience and FCA engagement skills.
- Other info: Opportunity to build your own team and influence business strategy.
The predicted salary is between 88000 - 120000 £ per year.
Head of Compliance (SMF16)
Pensions Platform
Remote (UK)
£110k – £150k + equity
Looking for greater flexibility to work from home, or anywhere in the world?
Or perhaps you’re keen to help build a business from the ground-up, with Compliance at its heart?
This next-generation pension technology platform will provide execution and custody services to financial advisors across the UK. Backed by one the of the world’s leading FinTech VC funds, this business will transform the infrastructure powering financial advice.
They also have a really flexible working policy. You can work completely remotely, you can go into the office every day, or anything in between, it’s entirely up to you. Whatever suits you and your circumstances best.
You’ll be the firm’s first Compliance hire at a time when they are seeking to complete their FCA application and will assist in the authorisation process.
Prior to ‘going live’, you’ll use your strong experience of pensions compliance to work extensively with the developers to ensure all back office systems and processes are regulatory robust and fit for purpose.
Initially a standalone role but with the potential to build your own team going forward, you’ll serve as the firm’s SMF16, ensuring ongoing compliance with FCA rules and regulations. You’ll also act as the principal point of contact with the FCA, managing all regulatory interactions and submissions.
You’ll lead the design, implementation and monitoring of compliance frameworks, policies and procedures, with emphasis on pensions and CASS compliance.
You’ll provide regulatory guidance and oversight across business units, including new product launches, client operations and marketing and advise the Board on regulatory developments and their potential impact on business strategy.
You’ll be an experienced Compliance leader and SMF16 with deep pensions knowledge (preferably personal pensions, SIPPs etc.) and a strong track record of FCA engagement. Previous CASS experience would also be advantageous.
This role will suit a direct talker, who is confident challenging leadership teams as and when required.
Sound good?
If so, click apply and send over your CV.
Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for a confidential discussion or email me at mark.wilson@willowresourcing.co.uk telling me that you’re interested. We’ll pick it up from there.
Head of Compliance (SMF16) - Pensions employer: Willow Resourcing Limited
Contact Detail:
Willow Resourcing Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance (SMF16) - Pensions
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks specific to pensions. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly evolving sector.
✨Tip Number 2
Network with professionals in the pensions compliance field, especially those who have experience with FCA interactions. Engaging with industry peers can provide valuable insights and potentially lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss your previous experiences in compliance roles, particularly any challenges you've faced and how you overcame them. Being able to articulate your problem-solving skills will set you apart as a strong candidate.
✨Tip Number 4
Showcase your leadership abilities by discussing any past experiences where you’ve built or led teams. As this role has the potential for team expansion, demonstrating your capability to lead will be crucial.
We think you need these skills to ace Head of Compliance (SMF16) - Pensions
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, particularly within the pensions sector. Emphasise your previous roles that involved FCA engagement and any relevant CASS experience.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of the role and the company’s mission. Mention your leadership style and how you plan to build a compliance framework from the ground up.
Highlight Relevant Skills: In your application, focus on skills that are crucial for the Head of Compliance role, such as regulatory knowledge, risk management, and the ability to challenge leadership teams effectively.
Showcase Flexibility and Adaptability: Given the flexible working policy, mention your adaptability and how you can thrive in a remote or hybrid work environment. This will demonstrate that you align with the company's culture.
How to prepare for a job interview at Willow Resourcing Limited
✨Understand the Regulatory Landscape
Familiarise yourself with the latest FCA rules and regulations, especially those related to pensions and CASS compliance. Being able to discuss these in detail will demonstrate your expertise and readiness for the role.
✨Showcase Your Leadership Skills
As the first Compliance hire, you'll need to exhibit strong leadership qualities. Prepare examples of how you've successfully led teams or projects in the past, particularly in compliance settings.
✨Prepare for Technical Questions
Expect questions that assess your technical knowledge of pensions compliance and regulatory frameworks. Brush up on key concepts and be ready to explain how you would implement compliance measures in a tech-driven environment.
✨Demonstrate Your Communication Skills
Since you'll be the principal point of contact with the FCA, effective communication is crucial. Practice articulating complex compliance issues clearly and confidently, as well as how you would challenge leadership when necessary.
