Head of Compliance (SMF16) - Pensions

JR United Kingdom; Wolverhampton; Hybrid; GBP 125,000 - 150,000; Full time

Job summary

A leading financial technology firm in Wolverhampton is seeking a Head of Compliance to manage regulatory processes and frameworks in their pension platform. This role offers flexible working options, and aims to establish robust compliance under the FCA regulations. Ideal candidates will have significant pensions knowledge and prior experience with the FCA. Open communication and leadership skills are essential for guiding teams and ensuring ongoing compliance.

Qualifications

• Deep pensions knowledge, preferably in personal pensions and SIPPs.
• Experience engaging with the FCA for regulatory matters.
• Ability to lead compliance initiatives and teams.

Responsibilities

• Design and implement compliance frameworks and procedures.
• Act as the principal contact with the FCA for regulatory interactions.
• Provide oversight and guidance on regulatory developments affecting business strategy.

Skills

Experience in pensions compliance

FCA engagement

Leadership skills

Regulatory framework design

Strong communication

Job description

Social network you want to login/join with:

Head of Compliance (SMF16) - Pensions, wolverhampton

col-narrow-left

Client:

Willow Resourcing Limited

Location:

Job Category:

Other

-

EU work permit required:

Yes

col-narrow-right

Job Views:

2

Posted:

22.08.2025

Expiry Date:

06.10.2025

col-wide

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.