At a Glance
- Tasks: Shape retail investor outcomes and provide compliance oversight for UK pensions products.
- Company: Join a leading financial institution focused on delivering excellent client service.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Other info: Collaborative environment with opportunities to work on innovative projects.
- Why this job: Make a real impact in the financial sector while ensuring compliance and governance.
- Qualifications: Bachelor’s degree and strong knowledge of UK financial services regulations required.
The predicted salary is between 80000 - 100000 £ 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. As Vice President in the Retail Investments Compliance team, you will provide second line of defense (2LOD) Compliance oversight and effective challenge to the UK pensions products business. Partner with Operations, Product, Client Servicing, and control functions to deliver timely, risk-based advice and help ensure robust governance, monitoring, and issue management across the pensions lifecycle, including a strong focus on FCA Consumer Duty outcomes.
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 deliver 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.
Compliance Vice President – Retail Investments and Pensions employer: Jpmorgan Chase & Co.
As a leading player in the retail investments and pensions sector, we pride ourselves on fostering a collaborative and inclusive work culture that empowers our employees to thrive. With a strong focus on professional development, we offer extensive training opportunities and career progression paths, ensuring that our team members are well-equipped to navigate the evolving regulatory landscape. Located in the heart of the UK, our office provides a dynamic environment where innovation meets compliance, making us an excellent employer for those seeking meaningful and rewarding careers.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Vice President – Retail Investments and Pensions
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, attend events, and connect on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that dream job.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. We want to see you shine, so practice common interview questions and think about how your skills align with the role. Show them you’re the perfect fit!
✨Tip Number 3
Follow up after interviews! A quick thank-you email can go a long way. It shows your enthusiasm for the role and keeps you fresh in their minds. We love seeing candidates who take that extra step!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we’ve got loads of resources to help you prepare for the process. Let’s get you that Compliance Vice President role!
We think you need these skills to ace Compliance Vice President – Retail Investments and Pensions
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the role of Compliance Vice President. Highlight your experience with UK pensions products and any relevant regulatory knowledge. We want to see how your background aligns with our mission to deliver good outcomes for retail investors.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance in retail investments and how you can contribute to our team. Be sure to mention specific experiences that demonstrate your expertise in FCA Consumer Duty outcomes.
Showcase Your Communication Skills:Since clear communication is key in this role, make sure your application reflects your ability to convey complex information simply. Whether it's your CV or cover letter, we want to see concise and effective writing that mirrors the executive-level materials you'll be producing.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts and let us know why you’d be a great fit!
How to prepare for a job interview at Jpmorgan Chase & Co.
✨Know Your Regulations
Make sure you brush up on UK retail financial services regulations like MiFID, COBS, and FCA Consumer Duty. Being able to discuss how these regulations impact pensions products will show that you’re not just familiar with the rules but can also apply them practically.
✨Showcase Your Analytical Skills
Prepare to demonstrate your analytical skills during the interview. Think of examples where you've identified compliance risks or issues and how you tackled them. This will highlight your attention to detail and sound judgment, which are crucial for the role.
✨Communicate Clearly
Practice articulating your thoughts clearly and concisely. You might be asked to present complex information, so being able to produce management-ready materials is key. Consider doing mock interviews to refine your verbal communication skills.
✨Collaborate Effectively
Be ready to discuss how you’ve worked with various stakeholders in the past. Highlight experiences where you’ve partnered with operations, product teams, or control functions to deliver outcomes. This will show that you understand the importance of collaboration in achieving compliance goals.
