Head of Compliance (SMF16) - Pensions

JR United Kingdom; Bath; Hybrid; GBP 70,000 - 90,000; Full time

Job summary

A leading fintech startup in Bath is seeking a Head of Compliance to oversee its FCA application and ensure ongoing compliance. The role offers flexible working arrangements, including remote options. Candidates should have experience in pensions compliance and a strong track record of FCA engagement. This is a standalone role with the potential to build a team.

Qualifications

• Experience with FCA application processes and regulations.
• Strong knowledge of pensions and CASS compliance.
• Ability to design and implement compliance frameworks.

Responsibilities

• Lead compliance for the firm as SMF16.
• Implement compliance frameworks and ensure FCA regulatory adherence.
• Serve as the main contact for FCA interactions.

Skills

Pensions compliance

FCA engagement

CASS compliance

Job description

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Head of Compliance (SMF16) - Pensions, bath

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Client:

Willow Resourcing Limited

Location:

bath, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

2

Posted:

22.08.2025

Expiry Date:

06.10.2025

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Job Description:

Head of Compliance (SMF16)

Pensions Platform

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.

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 [emailprotected] telling me that you’re interested. We’ll pick it up from there.