Head of Compliance (SMF16) - Pensions

JR United Kingdom; Preston; Hybrid; GBP 80,000 - 100,000; Full time

Job summary

A forward-thinking financial services firm in Preston is seeking a Head of Compliance to establish and lead compliance frameworks for their new pension technology platform. As the first Compliance hire, you will ensure regulatory robustness and act as the principal contact with the FCA. The role offers flexible working arrangements, allowing remote options. Deep knowledge of pensions compliance and a strong track record with FCA engagement are essential for success.

Benefits

Flexible working policy

Remote work options

Opportunity to build a team

Qualifications

• Extensive experience in pensions compliance.
• Track record of engagement with FCA.
• Ability to challenge leadership when necessary.

Responsibilities

• Lead the design and implementation of compliance frameworks.
• Serve as the firm's SMF16 and principal FCA contact.
• Ensure robustness of back office systems for compliance.

Skills

Pensions compliance

FCA regulations knowledge

CASS compliance

Leadership

Job description

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Head of Compliance (SMF16) - Pensions, preston, lancashire

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Client:

Willow Resourcing Limited

Location:

preston, lancashire, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

2

Posted:

26.08.2025

Expiry Date:

10.10.2025

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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.