Compliance Vice President – Retail Investments and Pensions

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. 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/Repor...