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 a focus on innovation and regulatory excellence.
- Why this job: Make a real impact in the financial services sector while ensuring compliance and governance.
- Qualifications: Bachelor’s degree and strong knowledge of UK financial 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 in London employer: Jpmorgan Chase & Co.
As a leading player in the financial services sector, we pride ourselves on fostering a collaborative and inclusive work environment that empowers our employees to excel. Our commitment to professional development is evident through tailored training programmes and clear career progression paths, ensuring that you can grow alongside the company. Located in the heart of the UK, we offer a dynamic workplace where your expertise in compliance will directly contribute to delivering positive outcomes for retail investors, all while enjoying a supportive culture that values innovation and integrity.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Vice President – Retail Investments and Pensions in London
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, especially those already working in compliance or pensions. A friendly chat can lead to insider info about job openings and even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK retail financial services regulations. Be ready to discuss how you can help deliver good outcomes for retail investors and tackle compliance challenges head-on.
✨Tip Number 3
Showcase your analytical skills! Bring examples of how you've tackled compliance issues in the past. This will demonstrate your ability to provide effective oversight and challenge within the pensions lifecycle.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Vice President – Retail Investments and Pensions in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience with UK pensions products and compliance. We want to see how your skills align with the role, so don’t hold back on showcasing your relevant expertise!
Showcase Your Knowledge:Demonstrate your understanding of UK financial regulations like MiFID and FCA Consumer Duty in your application. We’re looking for candidates who can clearly articulate how these regulations impact retail investments and pensions.
Be Clear and Concise:When writing your application, keep it straightforward and to the point. Use clear language and structure your thoughts well, as we value strong communication skills. Remember, we want to see your ability to produce executive-level materials!
Apply Through Our Website:Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. We can’t wait to hear from you!
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 by discussing past experiences where you identified compliance risks or issues. Use specific examples to illustrate how you approached problem-solving and what outcomes you achieved.
✨Communicate Clearly
Since clear communication is key in this role, practice articulating complex compliance concepts in a straightforward manner. You might even want to prepare a few executive-level materials to showcase your ability to convey information effectively.
✨Collaborate and Connect
Highlight your experience working with various stakeholders, especially in compliance and operational roles. Be ready to discuss how you’ve successfully collaborated across teams to deliver good outcomes, particularly in the context of pensions operations.
