Head of Compliance (Retail Investments)

Head of Compliance (Retail Investments)

Investment FinTech

Location: London (Hybrid – 2 days office, 3 days WFH per week)

Salary: To c.£110k + shares + benefits

Want to work for an Investment FinTech with an amazing reputation – both for the service it provides and the way it treats its staff?

This company has a Glassdoor score of 4.8 – that’s virtually unheard of in the UK. And here’s a snapshot of what staff have had to say about them.

“Amazing place to work with supportive and motivated people”

“Dream company and work culture”

“Great place to learn and be heard”

This innovative FinTech has made headlines for all the right reasons over the last 7 years. It’s been a really exciting journey so far and they’ve got an even more exciting future ahead.

Reporting into the Compliance Director (SMF16), 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, US Stocks, 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 be a highly experienced Compliance professional experienced at operating at this level, with a proven track record of managing and developing Compliance teams.

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

Interested?

Click apply.

Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at mark.wilson@willowresourcing.co.uk. We’ll pick it up from there.