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
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Provide 2LOD Compliance coverage for UK pensions products, including the operational delivery model supporting UK personal pension products and related client journeys and controls.
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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.
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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.
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Assess, challenge, and escalate potential regulatory breaches and operational risk issues in line with established governance, with strong judgment on when/how to escalate.
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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.
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Maintain and review relevant Compliance policies, procedures, and supporting documentation for pensions operational processes and controls.
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Represent Compliance in governance forums; produce clear, management- and regulator-ready materials as required.
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Identify control issues, support root-cause analysis, agree corrective actions with stakeholders, and track delivery to closure.
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Support monitoring and testing activities, including thematic reviews and project support; provide cross-coverage within the team as needed.