Role: Regulatory and Product Oversight – Senior Specialist (12-Month Contract)
Overview
This role is responsible for leading the design, implementation, and continuous improvement of the internal control framework for regulatory governance and product oversight. The position requires subject matter expertise in regulatory governance and oversight across multiple retail investment products and tax wrappers, ensuring a strong, consistent, and forward-looking control environment.
Key Responsibilities
Leadership & Governance
* Manage multiple priorities and lead cross-functional initiatives to deliver regulatory governance and oversight objectives across products and tax wrappers.
* Uphold robust governance standards and maintain an effective internal control environment across the end-to-end operating model.
* Represent the governance and oversight function in internal and external forums, providing expert input on product, regulatory, and strategic developments.
Control Framework & Risk Management
* Develop, implement, and maintain the internal control framework for regulatory governance and product oversight.
* Identify, design, implement, and test controls; address control gaps and enhance overall effectiveness.
* Identify and assess risk events and breaches, ensuring appropriate oversight, escalation, and remediation controls.
* Advise on audit activity, risk assessments, and remediation planning to support sustainable risk mitigation.
Analytical Oversight & Process Improvement
* Use data and management information to identify risks, drive decision-making, and improve governance and control effectiveness.
* Design and implement data-led oversight tools to enhance transparency, efficiency, and risk identification.
* Continuously review processes, challenge existing practices, and assess control suitability as products, regulations, and platform functionality evolve.
Stakeholder Engagement & Education
* Act as a subject matter expert for regulatory governance processes and product oversight activities across multiple wrappers.
* Build strong relationships with internal teams and outsourced partners, sharing best practices and driving improvements in process design and control maturity.
* Provide training and guidance to colleagues to build awareness and understanding of governance, controls, and regulatory obligations.
Operational Excellence
* Ensure timely, accurate, and compliant delivery of regulatory and product-technical activities across the platform.
* Maintain up-to-date knowledge of relevant regulations and industry guidance for investment products and tax wrappers.
* Ensure all procedures and documentation remain accurate, current, and aligned with internal and regulatory requirements.
Qualifications & Experience
* Minimum 5 years’ experience in operational processes within retail investment platforms; audit or risk experience desirable.
* Undergraduate degree or equivalent combination of education and experience.
* Broad experience in financial services or asset management (5+ years), including 2–3 years in oversight, governance, or risk-focused operational roles.
* Strong knowledge of relevant regulatory frameworks (e.g., FCA, HMRC, tPR) and exposure across multiple products or wrappers.
* Experience with direct-to-consumer retail investment platforms is advantageous.
* Sound understanding of internal control frameworks, workflow analysis, and operational processes.
* Strong analytical skills, with a solid grasp of systems, processes, and technology.
* Excellent communication, organizational, and time management skills.
* Adaptable to regulatory, operational, and strategic change.