Head of Compliance

This is a natural stepping stone into an SMF
16 role. There’s a clear path. No waiting for someone to move on, no dead man’s shoes. It’s all part of the plan.

You’ll also be working for a business with a fantastic reputation as an employer; in fact, it’s one of the highest rated employers in the UK, praised for its leadership, its people and its culture.

There’s also shares as part of the package and with a mooted IPO on the horizon, they’re likely to be quite lucrative.

And there’s a flexible working model with just 2 days a week in the firm’s London office.

Reporting into the Compliance Director (SMF
16), you’ll lead a small, high-performing team (6 FTE) responsible for Compliance Advice and 2nd line Assurance with regards to all products regulated by the FCA (ETFs, ISAs, Pensions etc.).

You’ll take responsibility for all aspects of Compliance activity, managing, overseeing and supporting the team to plan and deliver assurance activities, provide pragmatic advice at pace, and carry out broader Compliance activities including horizon scanning, regulatory reporting, training etc.

You’ll also provide independent challenge and input to senior management regarding key business decisions and new product development.

You’ll be a highly experienced Compliance professional with a proven track record of managing and developing Compliance teams.

You’ll have strong experience of working in a Retail Savings and/or Investments environment and will be very familiar with the regulatory requirements impacting the distribution of investment products such as ETFs, ISAs, Pensions etc.

You’ll also have a proven track record of working closely with and influencing senior management teams.

If you would like to discuss this opportunity you can contact Mark Wilson at  or email me at mar Please mention reference 415241 when you apply.

Company:
Leading Retail Savings & Investment Fin Tech

Location:

London

Workplace:
Hybrid Working

Reference: 415241

To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to  quoting reference 415241.

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