Head of Compliance (SMF16) – Pensions

Willow Resourcing; United Kingdom; Remote; GBP 60,000 - 90,000; Full time

Job summary

A startup pensions platform is looking for its first Compliance hire. The role involves ensuring FCA compliance, designing regulatory frameworks, and leading regulatory engagements. With flexible working arrangements, the ideal candidate will have significant experience in pensions and compliance, ready to build a strong compliance presence within the organization.

Qualifications

• Experienced Compliance leader with deep pensions knowledge.
• Track record of FCA engagement and CASS knowledge is advantageous.

Responsibilities

• Lead the design, implementation, and monitoring of compliance frameworks.
• Act as point of contact with the FCA and manage regulatory interactions.
• Provide regulatory guidance across business units and advise the Board.

Skills

Pensions compliance

Regulatory oversight

FCA engagement

Job description

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

Company: Start-up Pensions Platform

Location: United Kingdom

Workplace: Remote Working

Reference: 415222

To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to [e-mail] quoting reference 415222 .

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