Regulatory Governance & Pension Oversight Senior Specialist

• 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.

• Minimum of 5 years related work experience relating to operational process within the retail investment platform space. One year experience in audit or a risk-management-based function desirable but not essential.
• Undergraduate degree or equivalent combination of training and experience.
• Minimum 5 years broad experience in financial services / asset management; ideally with 2-3 of those years 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.

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