Head of Compliance; Retail Pensions & Investments

Overview

Head of Compliance (Retail Pensions & Investments) – London (Hybrid – 2 days in the office, 3 days WFH per week).

Retail Pensions & Investments Fin Tech. A rapidly growing Fin Tech with ongoing headlines and a future that may include an IPO. Shares in the business are part of the benefits package.

• Lead a small, high-performing team (6 FTE) responsible for Compliance Advice and 2nd line Assurance for all FCA-regulated products (ETFs, ISAs, Pensions, etc.).
• Manage, oversee, and support the team to plan and deliver assurance activities; provide pragmatic compliance advice at pace.
• Carry out broader compliance activities including horizon scanning, regulatory reporting, and training.
• Collaborate with product development teams and prepare the business for transactions (e.g., IPOs or sales) where applicable.
• Provide guidance to ensure compliance with regulatory requirements impacting distribution of investment products (Retail Investments and/or Pensions).
• Report to the Compliance Director (SMF
  16).

• Extensive experience as a senior compliance professional operating at this level with a proven track record in managing and developing compliance teams.
• Strong experience in a Retail Investments and/or Pensions environment with familiarity with FCA-regulated product distributions (ETFs, ISAs, Pensions, etc.).
• Experience working with product development teams; experience in preparing a business for a transaction (IPO, sale) is advantageous.

• Competitive base pay range (details discussed with recruiter).
• Share in the business as part of the benefits package.
• Location:
  
  London, Hybrid working arrangement.

Click apply. If you don’t have an up-to-date CV, contact Mark at  for an informal chat or email mar We will pick it up from there.

• Mid-Senior level

• Full-time

Note:

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