Overview

Head of Compliance (Pensions & Investments)

This company is an innovative FinTech with a strong reputation for service and staff well-being. It has a high Glassdoor score and a positive staff sentiment across comments about the work culture.

Responsibilities

Reporting into the Compliance Director (SMF16), you will lead a small, high-performing team (6 FTE) responsible for Compliance Advice and 2nd line Assurance for all FCA-regulated products (ETFs, ISAs, Pensions, etc.). You will:

• Lead and develop the Compliance team to plan and deliver assurance activities
• Provide pragmatic, timely compliance advice
• Conduct horizon scanning, regulatory reporting, and training
• Oversee all aspects of Compliance activity across product areas

You will manage, oversee, and support the team to ensure ongoing compliance and to adapt to regulatory changes.

Qualifications

You will be an experienced compliance professional at this level, with a proven track record of managing and developing compliance teams. Requirements include:

• Strong experience in Retail Investments and/or Pensions environments
• Familiarity with regulatory requirements impacting distribution of investment products (ETFs, ISAs, Pensions)
• Experience working with product development teams is advantageous
• Experience within FinTech firms is advantageous

Working arrangements

This is a hybrid role requiring 2 days in the office and 3 days remote.

How to apply

Interested? Click apply. If you don’t have an up-to-date CV, you can contact Mark for an informal chat at 0121 274 0357 or email mark.wilson@willowresourcing.co.uk. We’ll take it from there.

Company: Leading Pensions & Investments Platform

Location: London

Workplace: Hybrid Working

Reference: 415225

To apply, click on the “Apply Now” button or email your CV with current remuneration to info@willowresourcing.co.uk quoting reference 415225.

Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.