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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 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 qualities by discussing any past experiences where you led a team or project. As this role involves building a team, demonstrating your ability to lead and inspire others 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 any previous roles where you have engaged with the FCA or worked on compliance frameworks.
Craft a Strong Cover Letter: Write a cover letter that showcases your understanding of the role and the company. Mention your experience as an SMF16 and how you can contribute to building a robust compliance framework for their pension technology platform.
Highlight Relevant Skills: In your application, focus on skills that are crucial for this role, such as regulatory knowledge, leadership capabilities, and your ability to challenge and advise senior management on compliance matters.
Showcase Your Flexibility: Since the company offers flexible working arrangements, mention your adaptability and how you can thrive in a remote working environment while still ensuring compliance standards are met.
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 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, to illustrate your capability to build and manage a team.
✨Prepare for Technical Questions
Expect questions that delve into your technical knowledge of pensions compliance and regulatory frameworks. Brush up on relevant legislation and be ready to discuss how you've applied this knowledge in previous roles.
✨Demonstrate Your Communication Skills
Since you'll be the principal point of contact with the FCA, it's crucial to show that you can communicate complex regulatory concepts clearly and effectively. Practice articulating your thoughts on compliance issues in a straightforward manner.
