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 setting.
- 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 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.
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.
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 in London employer: JPMorgan Chase
Join a leading firm that prioritises the delivery of positive outcomes for retail investors in the UK, where you will play a pivotal role in shaping compliance strategies within the dynamic pensions sector. Our inclusive work culture fosters collaboration and innovation, offering extensive opportunities for professional growth and development, all while being part of a diverse team committed to excellence in regulatory compliance. Located in a vibrant area, we provide a supportive environment that values your contributions and encourages you to thrive in your career.
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 your connections in the industry, especially those who work in compliance or pensions. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK financial regulations. Be ready to discuss how you can help shape good outcomes for retail investors and demonstrate your understanding of FCA Principles and Consumer Duty.
✨Tip Number 3
Showcase your analytical skills! Bring examples of how you've tackled compliance challenges in the past. This will help us see your strong judgment and independence in action, which is crucial for the role.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. 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 COBS in your application. We’re looking for someone who can navigate these complexities, so let us know how you’ve tackled similar challenges in the past.
Be Clear and Concise:When writing your application, keep it straightforward and to the point. We appreciate clear communication, especially when it comes to compliance matters, so make sure your writing reflects that!
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
✨Know Your Regulations
Make sure you brush up on UK retail financial services regulations like MiFID, COBS, and FCA Principles. 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 examples that highlight your strong analytical skills and attention to detail. Think of situations where you've identified compliance risks or issues and how you tackled them. This will demonstrate your ability to assess and challenge potential regulatory breaches effectively.
✨Communicate Clearly
Practice articulating complex compliance concepts in a clear and concise manner. You might be asked to produce management-ready materials, so being able to communicate effectively, both verbally and in writing, is crucial for this role.
✨Collaborate and Connect
Be ready to discuss how you've worked with various stakeholders in the past. Highlight your experience in aligning expectations and delivering outcomes, especially in situations where pensions operations intersect with broader retail investments processes. This shows your ability to collaborate effectively across teams.
