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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 top FinTech investors.
- 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.
- 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 may even 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 qualities by discussing any past experiences where you’ve built or led a team. Since this role has the potential for team expansion, demonstrating your ability to lead effectively will be crucial.
We think you need these skills to ace Head of Compliance (SMF16) - Pensions
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of the Head of Compliance position. Familiarise yourself with FCA regulations and compliance frameworks relevant to pensions.
Tailor Your CV: Highlight your experience in pensions compliance and any previous roles as a Compliance leader or SMF16. Make sure to include specific examples of your engagement with the FCA and any CASS experience you have.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your ability to build a compliance framework from the ground up. Mention your leadership style and how you can contribute to the company's goals.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Willow Resourcing Limited
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of the FCA rules and regulations, especially those related to pensions and CASS compliance. Being able to discuss these in detail will show your expertise and readiness for the role.
✨Demonstrate Leadership Skills
As the first Compliance hire, you'll need to showcase your leadership abilities. Prepare examples of how you've successfully led compliance initiatives or built teams in previous roles to illustrate your capability.
✨Prepare for Technical Questions
Expect questions about compliance frameworks and processes. Be ready to explain how you would design and implement these in a new business, particularly focusing on the unique challenges of a pension technology platform.
✨Show Your Communication Skills
Since you'll be the principal point of contact with the FCA, it's crucial to demonstrate your ability to communicate complex regulatory information clearly. Practice articulating your thoughts on compliance issues succinctly and confidently.
