Oversee regulatory compliance activities, including the management, investigation, escalation, and remediation of CASS, COBS, DISP, and SUP breaches.
Design and deliver risk-based governance review programmes to identify regulatory risks, strengthen controls, and drive continuous improvement.
Manage the closure of Internal Audit and Compliance Monitoring findings, provide regulatory MI to governance forums, and deliver training to enhance compliance awareness across the business.
Oversee key regulatory monitoring frameworks, including financial sanctions screening, Market Abuse Regulation (MAR) alert reviews, and Personal Account Dealing (PAD) compliance.
Act as the firm's subject matter expert and primary contact for regulatory stakeholders, including the Financial Ombudsman Service (FOS), while managing trust acknowledgement letter review processes.
Support regulatory governance and business transformation initiatives through participation in Best Execution, CASS, and Consumer Duty forums, providing expert guidance on large-scale change programmes.
What you bring to this role
You'll bring proven experience in regulatory governance, operational oversight, and risk management within a regulated financial services environment, together with a strong understanding of CASS, Conduct Risk, and Consumer Duty requirements. You'll be a confident people leader with the ability to influence senior stakeholders and communicate complex regulatory matters to a broad audience. You will drive continuous improvement and support with transforming regulatory requirements into practical business solutions. Most importantly, you'll combine sound judgment, analytical thinking, and a customer-focused mindset to help strengthen governance and deliver positive outcomes for clients and the business.
Other skills required for the role
Bachelor’s Degree or equivalent
Professional Qualifications (IOC, Global Operations Diploma Desirable)
A detailed understanding of the FCA handbook is essential.
A deep understanding of Operational process is essential.
Knowledge and experience of Computershare’s systems, products and services is essential..
Rewards designed for you
Flexible work to help you find the best balance between work and lifestyle.
Health and wellbeing rewards that can be tailored to support you and your family.
Invest in our business by setting aside salary to purchase shares in our company, and you’ll receive a company contribution as well.
Extra rewards ranging from recognition awards and team get togethers to helping you invest in your future.
And more. Ours is a welcoming and close-knit community, with experienced colleagues ready to help you grow. Our careers hub will help you find out more about our rewards and life at Computershare, visit computershare.com/careershub
