Summary In this role you will be leading the establishment, maintenance, and enhancement of our internal control framework for the Regulatory Governance & Pension Oversight Team, acting as SME across all regulatory governance and pension-related activities and controls.
Summary
In this role you will be leading the establishment, maintenance, and enhancement of our internal control framework for the Regulatory Governance & Pension Oversight Team, acting as SME across all regulatory governance and pension-related activities and controls.

QUALIFICATIONS & EXPERIENCE

• Significant work experience relating to operational process within the retail investment platform space. Proven experience in audit or a risk-management-based function desirable but not essential.
• Undergraduate degree or equivalent combination of training and experience.
• Extensive broad experience in financial services / asset management; ideally with proven time spent in an oversight or similar operational role.
• In depth working knowledge of relevant industry regulations (i.e., HMRC, FCA, tPR, etc.)
• Prior experience with a D2C retail investment platform.
• Knowledge and understanding of internal control theory and practices; experience in workflow analysis and documentation.
• Solid analytical skills and understanding of processes, technology and operational concepts.
• Excellent oral and written communication skills and time management/organizational skills.
• Demonstrated flexibility and ability to adapt to change.
• Strong proficiency with Microsoft Office applications.

WHAT YOU’LL DO:

• Lead with Excellence: Manage multiple priorities and lead cross-functional initiatives/projects to achieve team objectives.
• Data-Driven Insights: Leverage data to drive decisions and optimize processes.
• Compliance Champion: Oversee all pension-related activities, ensuring strict compliance with regulations and internal policies.
• Governance Standards: Uphold governance standards and maintain a robust control environment.
• Initiative-taking Problem Solver: Identify and address control gaps, continuously questioning the effectiveness of all controls.

CORE RESPONSIBILITIES

• Develops and leads the internal control framework, identifying, designing, implementing, and testing controls. Remedies control gaps and enhances effectiveness.
• Acts as SME for pension processes and governance/regulatory activities across the business, providing consultation and analytical support. Advises on audit activities and risk mitigation.
• Supports management reporting, thoroughly documenting findings.
• Looking to develop and implement data-led control and governance tools that make oversight as efficient as possible.
• Builds strong relationships with stakeholders, sharing best practices and communicating control solutions. Collaborating with outsourced partners to strengthen and streamline process design and automate manual elements of the operation.
• Accountable for oversight of regulatory and pension activities through the UKPI retail platform, ensuring timely and accurate processing.
• Maintains knowledge of relevant laws and regulations for pension and other relevant tax wrappers.
• Notifies and assesses risk events and breaches, ensuring oversight controls are effective.
• Accountable for procedures within the Pensions Oversight Team.
• Oversees platform governance tasks within required timeframes; documents control adherence and assurance tasks with high attention to detail.
• Manages relationships with outsourced technical operations teams, resolving issues and improving processes.
• Represents the Regulatory & Pension Oversight Team in internal and external meetings, providing expert advice for propositional developments.
• Provides support, education and training to crew.
• Participates in special projects and other duties as assigned.