Are you ready to chart your own career path? At SJP we need talented individuals like yourself to support our evolving culture. If you’re seeking an employer that is passionate about excellence, innovation and autonomy, SJP could be the place for you.

WHAT’S NEXT?

If you’re excited about this role and believe you have the skills and experience we’re looking for, we’d love to hear from you! Please submit an application by clicking ‘apply’ below and our team will be in touch.
As a business regulated by the FCA we would advise you to familiarise yourself with the conduct regulations and in particular consumer duty obligations prior to an interview with SJP.

What skills do you need?

• Detailed regulatory knowledge, particularly in respect of the ‘COLL’ and ‘FUND’ sections of the FCA Handbook.
• Detailed knowledge of Active Equity/Fixed Income, Multi-Asset, Money Market, Index and ETF.
• Proven ability to identify, assess, and challenge conduct and regulatory risks within a business environment.
• Ability to perform detailed reviews and provide well-reasoned, risk-based opinions.
• Strong interpersonal skills to influence and collaborate with internal teams, including Compliance, Risk, and Business Management.
• Proactive approach to identifying issues, proposing solutions, and supporting remediation activities.
• High level of accuracy and focus when reviewing policies, procedures, and business activities.
• Preferably a minimum of three years’ experience in a 1st or 2nd line risk and compliance function environment within financial services, with strong understanding of the three lines of defence model

The St. James’s Place Risk and Compliance Division is committed to providing independent assurance and adding value to the SJP Group by objectively reviewing and reporting on the adequacy and effectiveness of processes and compliance controls (primarily relating to FCA Conduct Risk and PRA regulations) operated by first line management to and whether they deliver fair customer outcomes. The main purpose of the role is to contribute to the compliance culture within the SJP Group, through the delivery of second line of defence compliance monitoring, as it relates to the business strategy and day-to-day operations of the SJP Group.
Key Responsibilities:

Lead and input on Compliance priorities for SJP UTG, ensuring core understanding and adherence to all relevant laws, rules, and regulations (inc. MiFID II, COLL regulations, and applicable rules from the FCA and other regulatory bodies as appropriate).

• Oversee the adoption and implementation of compliance policies, procedures (as aligned to SJP Group), and controls to ensure the firm’s activities are in line with regulatory standards.
• Support development and delivery of compliance monitoring plan, recommending the review plan to the appropriate SJPUTG board committee in collaboration with the Group compliance monitoring team and Group Compliance Director.
• Act as trusted advisor and demonstrate judgement on regulatory matters, clearly signposting regulatory risks and providing advice to UTG senior management on changes to regulatory requirements to ensure ongoing compliance with regulatory expectations and industry best practice.
• Provide top quality advice and subject matter expertise to the Group Compliance Director, wider Compliance team and business on regulatory issues impacting SJP UTG
• Input into the Compliance Planning cycle for SJP UTG and support with FCA supervisory relationship.
• Provide clear concise reporting to relevant Boards and governance and management fora on regulatory priorities and issues for SJP UTG.
• Present, where appropriate, on regulatory issues impacting SJP UTG to the SJP Board, ExCo and other relevant governance and management fora and engage with the leadership team and wider business on regulatory issues.

What skills do you need?

• Detailed regulatory knowledge, particularly in respect of the ‘COLL’ and ‘FUND’ sections of the FCA Handbook.
• Detailed knowledge of Active Equity/Fixed Income, Multi-Asset, Money Market, Index and ETF.
• Proven ability to identify, assess, and challenge conduct and regulatory risks within a business environment.
• Ability to perform detailed reviews and provide well-reasoned, risk-based opinions.
• Strong interpersonal skills to influence and collaborate with internal teams, including Compliance, Risk, and Business Management.
• Proactive approach to identifying issues, proposing solutions, and supporting remediation activities.
• High level of accuracy and focus when reviewing policies, procedures, and business activities.
• Preferably a minimum of three years’ experience in a 1st or 2nd line risk and compliance function environment within financial services, with strong understanding of the three lines of defence model.