At a Glance
- Tasks: Shape outcomes for retail investors and provide compliance oversight in pensions.
- Company: Join a leading financial institution committed to diversity and inclusion.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Other info: Opportunity for career growth in a dynamic and collaborative team.
- Why this job: Make a real impact on retail investments while ensuring compliance and good client outcomes.
- Qualifications: Bachelor's degree and strong knowledge of UK financial regulations required.
The predicted salary is between 55000 - 65000 £ per year.
Shape how we deliver good outcomes for retail investors in the UK. You will provide independent oversight and practical advice across discretionary and execution-only investing, partnering closely with the business and control functions.
Job Responsibilities
- Provide 2LOD Compliance coverage for UK pensions products, including the operational delivery model supporting UK personal pension products and related client journeys and controls.
- Act as a subject matter expert on relevant UK regulatory requirements impacting UK pensions products, and execute core Compliance activities across Governance & Oversight; Regulatory Management; Policies & Procedures; Training & Awareness; Monitoring & Testing; Issue Management; Risk Assessment/Reporting.
- Provide Compliance advice aligned to regulatory and operational risk tolerances, partnering with LOB stakeholders, regional/global Compliance, Internal Audit, Operational Risk and other Control functions.
- Assess, challenge, and elevate potential regulatory breaches and operational risk issues in line with established governance, with strong judgment on when/how to elevate.
- Provide documented Compliance input to pensions products business change (e.g., process changes, platform enhancements, client communications, new operational initiatives), identifying and helping mitigate Compliance risks.
- Maintain and review relevant Compliance policies, procedures, and supporting documentation for pensions operational processes and controls.
- Represent Compliance in governance forums; produce clear, management- and regulator-ready materials as required.
- Identify control issues, support root-cause analysis, agree corrective actions with stakeholders, and track delivery to closure.
- Support monitoring and testing activities, including thematic reviews and project support; provide cross-coverage within the team as needed.
- Contribute to effective collaboration across stakeholders to align expectations and deliver outcomes, particularly where pensions operations intersects with broader retail investments processes and communications.
Required Qualifications, Capabilities, and Skills
- Bachelor's degree required.
- Strong knowledge of relevant UK retail financial services regulation as applicable, including MiFID / COBS, CASS, and MAR, and how these requirements interact with pensions-related operating models and client servicing.
- Strong understanding of FCA Principles and Consumer Duty as applied to pensions products/operations, including delivering good outcomes for retail clients.
- Sound judgment and independence, including ability to elevate effectively.
- Clear, concise written and verbal communication skills, including executive-level materials.
- Strong analytical skills, attention to detail, and strong documentation standards.
Preferred Qualifications, Capabilities, and Skills
- MBA / professional certification preferred.
- Compliance/Risk/Controls/Audit experience in a global financial institution.
- Pensions-specific regulatory familiarity (as applicable), including knowledge of UK personal pension products and broader UK retail financial services requirements that commonly drive pensions communications and operational processes (e.g., FCA Consumer Duty, UK MiFID 2, UK financial promotion regime, ISA regulations, PRIIPs, MAR).
- Experience with retail client operational matters relevant to pensions servicing and administration, including complaints handling, FOS investigations, Power of Attorney queries, and supporting bereavement matters.
- Experience supporting regulatory change management programs and/or new product development impacting operational delivery.
- Proficiency in Microsoft Office.
Equal Opportunity Employment
We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs.
Compliance Vice President - Retail Investments and Pensions employer: Fairygodboss
Join a forward-thinking organisation that prioritises the delivery of positive outcomes for retail investors in the UK. As a Compliance Vice President, you will thrive in a collaborative work culture that values diversity and inclusion, while benefiting from extensive professional development opportunities and a commitment to employee well-being. With a focus on regulatory excellence and operational integrity, this role offers a unique chance to shape compliance practices within a dynamic financial services environment.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Vice President - Retail Investments and Pensions
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Fairygodboss looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Vice President - Retail Investments and Pensions
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Fairygodboss. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Fairygodboss
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Fairygodboss’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
