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 good outcomes for clients.
- Qualifications: Bachelor’s degree and strong knowledge of UK financial services regulation 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 escalate potential regulatory breaches and operational risk issues in line with established governance, with strong judgment on when/how to escalate.
- 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 escalate 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: JPMorganChase
As a Compliance Vice President in Retail Investments and Pensions, you will thrive in a dynamic environment that prioritises employee growth and collaboration. Our company fosters a culture of integrity and excellence, offering comprehensive training and development opportunities to ensure you stay at the forefront of regulatory changes. Located in the heart of the UK financial sector, we provide a unique chance to make a meaningful impact on retail investors while enjoying a supportive work-life balance and competitive benefits.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Vice President – Retail Investments and Pensions
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, and don’t be shy about reaching out to folks on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that Compliance VP role.
✨Ace the Informational Interview
Set up informal chats with professionals already working in compliance or pensions. This is your chance to learn about their experiences and get insider tips. Plus, it shows your genuine interest in the field, which can make a great impression!
✨Showcase Your Expertise
When you get the chance to meet potential employers, don’t hold back on sharing your knowledge of UK regulatory requirements and compliance practices. We want to see how you can bring value to the team, so be ready to discuss your insights and experiences!
✨Apply Through Our Website
Don’t forget to check out our website for job openings! Applying directly through us not only makes your application stand out but also shows you’re serious about joining our team. Let’s get you that Compliance VP position together!
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 regulatory requirements, showing us how you can 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 the perfect fit for this role. Share specific examples of how you've tackled compliance challenges in the past and how you can bring that expertise to our team.
Showcase Your Communication Skills:Since clear communication is key in this role, make sure your application reflects that. Use concise language and structure your documents well. We want to see that you can produce management-ready materials effortlessly!
Apply Through Our Website:Don't forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining the StudySmarter family!
How to prepare for a job interview at JPMorganChase
✨Know Your Regulations
Make sure you brush up on the relevant 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 to demonstrate your analytical skills during the interview. Think of examples where you've assessed compliance risks or identified control issues. Be ready to explain your thought process and how you arrived at your conclusions.
✨Communicate Clearly
Since clear communication is key in this role, practice articulating your thoughts concisely. You might be asked to present complex information, so try to simplify it as if you were explaining it to someone without a compliance background.
✨Prepare for Scenario Questions
Expect scenario-based questions where you’ll need to assess potential regulatory breaches or operational risks. Think through how you would handle these situations, including when and how to escalate issues, and be prepared to discuss your reasoning.
