Compliance Vice President – Retail Investments

Job description

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. This role offers broad exposure to governance, monitoring and testing, and issue management in a dynamic environment. As a Compliance Vice President in the Retail Investments Compliance team, you will provide second line oversight and effective challenge across discretionary and execution-only investing. You will advise on key UK regulatory requirements, support governance and monitoring and testing, and help drive timely issue identification and remediation in partnership with the business and other control functions. Job responsibilities: Provide second line compliance coverage for Retail Investments, including discretionary portfolios, execution-only investing, exchange-traded funds, individual savings accounts, pensions and other tax wrappers, and online investing Act as a subject matter expert on relevant UK regulatory requirements and execute core compliance activities across governance and oversight, regulatory management, policies and proce...