
Lead Regulator
5 days ago
At our organization, you will find a unique work environment that fosters strong relationships with clients and develops the careers of future business leaders.
About UsWe are a leading financial services group, providing a broad range of services to high-net-worth individuals, self-directed investors, small-to-medium enterprises, credit unions, corporations, and institutional investors.
Our culture is built around three values: client success, teamwork, and legacy. We share common goals and work together to deliver exceptional outcomes for clients.
About the RoleWe are seeking an experienced financial services professional to take ownership of suitability initiatives across our wealth management business.
This role is ideal for someone with regulatory awareness and a passion for delivering high-quality client outcomes.
The successful candidate will lead projects from impact assessment through to delivery, maintain a forward-looking view of regulatory trends, and advise senior leadership on their implications.
Key responsibilities include:
- Regulatory Leadership: Act as the business lead for suitability across our Wealth Management businesses.
- Operational Oversight: Design and implement efficient operational processes that embed suitability requirements into daily activities.
- Stakeholder Engagement & Support: Ensure suitability principles are embedded in adviser training, onboarding, and ongoing development.
The ideal candidate has significant experience in a regulated financial services environment, preferably within wealth or asset management.
They must have proven ability to lead change initiatives, a strong understanding of governance, risk, and control frameworks, and willingness to develop subject matter expertise in MiFID-related requirements.
About YouAs a Suitability Lead, you will be responsible for:
- Leading projects from impact assessment to delivery.
- Maintaining a forward-looking view of regulatory trends and advising senior leadership on their implications.
- Developing and maintaining implementation roadmaps and readiness assessments for regulatory change.
What We Offer
We offer a range of benefits and experiences to support your growth, including competitive compensation, performance-based bonus, flexible benefits, employer pension contribution, and multiple insurance coverage.
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