Head of Compliance (Retail Pensions & Investments)

Willow Resourcing Limited; England; Hybrid; GBP 110,000 - 150,000; Full time

Benefits offered by this job

Competitive salary

Share options in the business

Job summary

A financial technology firm in London is hiring a Head of Compliance for Retail Pensions & Investments. You'll lead a team, ensure regulatory compliance, and support product development. Ideal candidates have extensive compliance experience in FCA-regulated environments and are familiar with retail investments. Competitive compensation includes company shares and a hybrid work arrangement.

Qualifications

• Extensive experience managing compliance teams at a senior level.
• Strong background in Retail Investments and Pensions.
• Familiarity with FCA regulations regarding product distributions.

Responsibilities

• Lead a team providing compliance advice and assurance.
• Manage assurance activities and regulatory reporting.
• Collaborate on product development and transaction readiness.
• Collaborate with product development teams and prepare the business for transactions (e.g., IPOs or sales) where applicable.
• Provide guidance to ensure compliance with regulatory requirements impacting distribution of investment products (Retail Investments and/or Pensions).
• Report to the Compliance Director (SMF16).

Skills

Senior compliance professional experience

Retail Investments and/or Pensions expertise

Team management

FCA-regulated products knowledge

Experience with transaction preparation (IPO, sale)

Job description

Overview

Head of Compliance (Retail Pensions & Investments) – London (Hybrid – 2 days in the office, 3 days WFH per week).

Company

Retail Pensions & Investments FinTech. A rapidly growing FinTech with ongoing headlines and a future that may include an IPO. Shares in the business are part of the benefits package.

Responsibilities

• 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.).
• Manage, oversee, and support the team to plan and deliver assurance activities; provide pragmatic compliance advice at pace.
• Carry out broader compliance activities including horizon scanning, regulatory reporting, and training.
• Collaborate with product development teams and prepare the business for transactions (e.g., IPOs or sales) where applicable.
• Provide guidance to ensure compliance with regulatory requirements impacting distribution of investment products (Retail Investments and/or Pensions).
• Report to the Compliance Director (SMF16).

Requirements & Qualifications

• Extensive experience as a senior compliance professional operating at this level with a proven track record in managing and developing compliance teams.
• Strong experience in a Retail Investments and/or Pensions environment with familiarity with FCA-regulated product distributions (ETFs, ISAs, Pensions, etc.).
• Experience working with product development teams; experience in preparing a business for a transaction (IPO, sale) is advantageous.

Benefits & Other

• Competitive base pay range (details discussed with recruiter).
• Share in the business as part of the benefits package.
• Location: London, Hybrid working arrangement.

How to Apply

Click apply. If you don’t have an up-to-date CV, contact Mark at 0121 274 0357 for an informal chat or email [e-mail]. We will pick it up from there.

Seniority

• Mid-Senior level

Employment Type

• Full-time

Note: The posting includes standard job alerts and location/time-stamp updates from Willow Resourcing Limited; the content has been cleaned of extraneous boilerplate and non-essential information.