At a Glance
- Tasks: Shape outcomes for retail investors by providing compliance oversight and practical advice.
- Company: Join a leading financial institution focused on retail investments and pensions.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Other info: Collaborative environment with a focus on delivering good outcomes for clients.
- 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 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. 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 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 in London employer: JPMorganChase
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 and growth opportunities, ensuring that our team members are well-equipped to navigate the evolving regulatory landscape. Located in the heart of the UK, we provide a dynamic environment where compliance professionals can make a meaningful impact on investor outcomes while enjoying a supportive workplace 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
✨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 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.
✨Ace the Interview
Prepare for your interviews by researching the company and the role inside out. We recommend practising common interview questions and even doing mock interviews with friends. Show them you’re not just a fit for the role, but that you’re passionate about making a difference in retail investments and pensions!
✨Follow Up
After your interview, don’t forget to send a thank-you email! It’s a simple gesture that shows your appreciation and keeps you fresh in their minds. We believe this small step can make a big difference in how you’re perceived.
✨Apply Through Our Website
When you find a role that excites you, 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 genuinely interested in joining our team!
We think you need these skills to ace Compliance Vice President – Retail Investments and Pensions in London
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 our Retail Investments Compliance team. Share specific examples of how you've provided compliance oversight and tackled regulatory challenges in the past.
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, so we can easily see your strong analytical skills and attention to detail.
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 don’t miss any important updates from us!
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 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 preparing a brief presentation on a relevant topic to showcase your communication skills.
✨Engage with Stakeholders
Be ready to discuss how you’ve collaborated with various stakeholders in previous roles. Highlight your experience in aligning expectations and delivering outcomes, especially in situations where compliance intersects with broader operational processes. This will demonstrate your ability to work effectively across teams.
