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
1. 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
2. Act as a subject matter expert on relevant UK regulatory requirements and execute core compliance activities across governance and oversight, regulatory management, policies and procedures, training and awareness, monitoring and testing, issue management, and risk assessment and reporting
3. Assess, challenge, and escalate potential regulatory breaches and operational risk issues in line with established governance
4. Provide documented compliance input to business change initiatives, including new products and enhancements, identifying and helping mitigate compliance risks
5. Maintain and review relevant policies, procedures, and supporting documentation
6. Represent compliance in governance forums and produce clear materials suitable for senior management and, where needed, regulators
7. Identify control issues, support root-cause analysis, agree corrective actions with stakeholders, and track delivery to closure
8. Support monitoring and testing activities and projects, and provide cross-coverage within the team as needed
Required qualifications, capabilities and skills
9. Bachelor’s degree required
10. Strong knowledge of UK retail investments regulation, as applicable, including MiFID, Conduct of Business Sourcebook, Client Assets Sourcebook, and Market Abuse Regulation
11. Strong understanding of FCA Principles and Consumer Duty as applied to investment products and services
12. Sound judgment and independence, including the ability to escalate effectively
13. Clear, concise written and verbal communication skills, including executive-level materials
14. Strong analytical skills, attention to detail, and strong documentation standards
Preferred qualifications, capabilities and skills
15. MBA/professional certification
16. Experience in compliance, risk, controls, or audit within a global financial institution
17. Exposure to online retail investing and individual savings accounts and pensions
18. Proficiency in Microsoft Office