My client, a well-established Investment Management firm, are currently seeking a Head of Regulatory & Pension to join their Oversight team. This role requires an experienced leader with solid Operational knowledge, specifically across Self Invested Pension Products and in the retail investment industry.
• Supervise and provide guidance to the team. Ensuring performance standards are met, making compensation decisions, and adhering to procedures. • Lead and manage control projects across regulated activities. Develop and implement control frameworks as well as recommending actions to increase effectiveness. • Being a main point of contact for the team, supporting complex related issues and ensuring controls are properly aligned and implemented. • Acting as a strong leader and supporting the Head of Operations Oversight in running oversight function and delivering change in regard to regulatory updates and business initiatives. • Understand awareness of risk and control functions, seeking industry and company trends regarding risk and control and where this can be applied.
• Proven experience in a leadership role. • Pension knowledge is mandatory – SIPP, ISA. • Understanding of regulatory reporting. • Strong experience in delivering regulatory change and implementing control frameworks. • Working with outsourced provider, offering high level oversight and building strong relationships.
Level 3 – Certificate in Financial Services – Chartered Insurance Institute (CII), or
Level 3 – Investment Operations Certificate (IOC) – Chartered Institute for Securities & Investment (CISI), or
Level 3 – Certificate in Pensions Administration – Pensions Management Institute (PMI)
Note – Candidates must be SMCR certified as you will be a part of the SMF regime.
Successful candidates will need to be able to manage senior stakeholders, work in a fast-paced environment and lead multiple priorities for both the team and organisational objectives.
If you or anyone you know would like to apply to this Head of Regulatory & Pension Oversight opportunity, please click on the link below or reach out directly at Alexandra.firstname.lastname@example.org
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
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