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).

Company

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

Responsibilities

• 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...