Level 3 Compliance Officer
Level 3 Compliance Officer
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Job Description
Hi were Penfold - We are on a mission to build the pension of the future!
At Penfold were dragging pensions out of the dark ages with a modern tech-first platform that makes pensions engaging accessible and rewarding.
Were a growing team of 50 team members across London and Tallinn backed by top FinTech investors. Having raised 20M we manage 700M in pensions for over 100000 savers and thousands of businesses and were on track for profitability next year.
As part of our first 50 hires youll play a key role in shaping our culture and enjoy significant opportunities for growth and progression.
About the role
Were looking for a Level 3 Compliance Officer to join our team. We care about doing the right thing not just because we have to but because its fundamental to our play a key role in shaping this culture and holding us to account. As a Compliance Specialist youll also be instrumental in our compliance efforts providing guidance training and support as well as contributing to company goals and delivering core assurance activities. Its a fast-paced exciting and challenging role with loads of positives and fantastic colleagues.
Your responsibilities
- Provide proactive advisory support interpreting and applying FCA TPR and wider regulatory requirements.
- Lead or oversee compliance audits control reviews and deep-dive assurance activity.
- Monitor assess and communicate the impact of regulatory developments and advise business leads.
- Design and enhance second-line assurance frameworks and MI/reporting dashboards.
- Investigate complex breaches lead root cause analysis and coordinate remediation.
- Represent compliance in internal working groups and regulatory conversations.
- Deliver compliance training sessions and act as SME on key topics (e.g. AML GDPR).
- Contribute to continuous improvement of the compliance framework policies and documentation.
- Mentor and support junior analyst sharing expertise and reviewing work.
Skills and Experience:
- Strong knowledge of UK pensions regulation (FCA TPR) and compliance operations.
- 4 years experience in financial services compliance preferably within pensions.
- Demonstrable expertise in regulatory assurance audit preparation and advisory.
- Excellent stakeholder engagement and communication skills.
- Ability to lead and deliver compliance projects with minimal supervision.
- Professional qualifications (e.g. ICA CISI) strongly preferred.
- Knowledge of CASS AML GDPR and investment/fund structures desirable.
- Experience of UK workplace pensions is a plus.
What Were Looking For
- You have strong analytical skills with the ability to interpret complex regulations and apply them to business operations;
- You take a practical approach to problem solving cut through to the key issues and dont bamboozle colleagues with lots of technicalities and micro-detail;
- You communicate clearly and simply - no jargon please.
- You take a first-principles approach to problem solving and dont simply look to how things have always been done;
- You are comfortable holding your ground and putting forward your case;
- You can work independently and collaboratively in a fast-paced environment;
- You can prioritise and manage multiple tasks at the same time;
- You understand the Consumer Duty and the regulators expectations of firms in respect of it (and dont treat it as a box-ticking exercise but something that is crucial to the culture of a firm);
- You are able to build relationships and influence colleagues at all levels.
Be prepared to work hard! Ultimately were looking for smart hardworking & energetic people who get stuff done & are committed to contributing to a great team. So if youre excited about what were doing get in touch definitely dont be put off if you dont tick every box!
Our application process:
- Take-Home Task (30 min) - to assess your ability to apply yourself verbal and communication skills
- Hiring Manager Interview (1 hour) - in-depth interview about your experience and skills with your potential manager
- Culture Interview (30 min) - youll meet other members of the team to find out more about what its like working at Penfold
Benefits:
Were working hard to create a working environment where people feel empowered to do their very best work make a big impact and enjoy what they do. Specifically our benefits package includes:
- A competitive salary; we proactively review salaries to make sure you get what you deserve
- Meaningful share options youll own a part of Penfold and share in our success
- 10% pension contribution each month that you dont need to match (on top of your salary)
- Medical insurance through Vitality
- Unlimited holiday were interested in your output not how many holidays you go on!
- Hybrid working we like people to come in to our office (so it would be great if you lived in the London area) at least a couple of days a week to collaborate but we trust you to get your work done in whatever environment suits you
- Great community office space plenty of people come into our wonderful private office near Borough Underground station.
- Free tea coffee soft drinks and snacks
- Free company lunch every week (e.g. Borough Market Mercato Metropolitano)
- Laptop and any WFH equipment you need
- Option to buy a bike tax free and spread the cost (using the cycle to work scheme)
- Learning and Professional Development we conduct regular 360 feedback and focus on role progression that suits each individual. We support everyone with courses events and coaching to help everyone reach their goals
- Quarterly company socials and regular meet-ups throughout the year too!
- Plus a host of other benefits see here: are 100% committed to building a diverse and representative team. Whatever your race religion colour national origin gender sexual orientation age marital status or disability - we want to hear from you. If you have questions about the role or the company or the interview process please let your recruiter know and were happy to answer these anonymously if that makes you feel more comfortable.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
