If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

00278197

PROFILE:

Regulatory professional with extensive experience delivering end-to-end regulatory change and managing regulatory control processes across UK and EMEA jurisdictions. Specialist in ESG-related regulations, horizon scanning, impact assessments, and governance oversight. Skilled in overseeing Control Room operations, including market abuse risk, inside information controls, conflicts of interest, and Personal Account Dealing (PAD). Adept at translating complex regulatory requirements into clear, actionable guidance to drive compliance and support business objectives.

SKILLS:

• Regulatory change management across UK and EMEA, with strong ESG focus
• Conducting horizon scanning, impact assessments, and interpret complex regulations into clear guidance
• Managing conflicts of interest, Personal Account Dealing (PAD), and information barriers
• Collaborating effectively with Compliance, Legal, Risk, and Business stakeholders
• Supporting audits, compliance testing, and regulatory investigations
• Strong analytical skills with a keen eye for detail and accuracy
• Excellent communication, report writing, and stakeholder engagement

EDUCATION:

2017 – 2018: University

MSC (Hons) Banking and Finance - 2:1

2016 – 2017: MUniversity

BA (Hons) Business Management in Finance - 1:1

2014 – 2016: University

Foundation Degree in Business Management - 2:1

2009 – 2011: School

GCSEs: Mathematics, English, Chemistry, Biology, Physics, History — Grade A

CAREER HISTORY:

2025 - Present

Big 4

AVP Regulatory Change

• Deliver end-to-end Regulatory Change Management across UK and EMEA jurisdictions, from horizon scanning and interpretation through to implementation support and governance oversight.
• Conduct detailed regulatory horizon scanning to identify upcoming and evolving regulatory developments, with a specialist focus on ESG and sustainability-related regulations.
• Perform regulatory impact assessments, assessing applicability, business impact, and required actions across relevant stakeholders.
• Translate complex regulatory developments into clear, actionable guidance, including senior-facing summaries and regulatory change newsletters.
• Support updates to policies, procedures, and internal controls to ensure alignment with new and amended regulatory requirements.
• Liaise with Compliance, Legal, Risk, and Business stakeholders to support understanding, implementation, and embedding of regulatory obligations.

2022 - 2025

AVP Control Room & Regulatory Processes

• Support Control Room operations, managing market abuse risk through oversight of inside information and MNPI.
• Manage wall crossings, restricted lists, and watch lists in line with regulatory and internal requirements.
• Set up and maintain information barriers and information trees to track access to MNPI and sensitive information.
• Identify, assess, and manage conflicts of interest, ensuring appropriate mitigation and documentation.
• Oversee Personal Account Dealing (PAD) processes, including pre-clearance requests, monitoring, breach escalation, and reporting.
• Review and assess Outside Business Interests (OBI) to identify potential conflicts and ensure appropriate controls are in place.
• Support internal audits, compliance testing, and regulatory enquiries by providing documentation, evidence, and subject matter input.

September 2021 – February 2022

Investment Services

Compliance Assistant

• Supported the Head of Compliance and MLRO in promoting a compliance culture. Conducted AML checks, compliance monitoring, and risk assessments. Assisted with regulatory updates, financial promotions review and maintaining compliance records. Delivered training and collaborated with internal teams and third parties on compliance matters.

December 2018 – March 2020

Banking

Essential Banker

• Analysed customer needs and provided tailored banking solutions. Supported sales plans and ensured compliance with operational and security policies. Conducted risk assessments on transactions to prevent fraud and processed various financial services accurately.

July 2015 – November 2018

Retail

Cash Office Associate

• Managed daily cash reporting, bank deposits, and register reconciliation. Monitored cash transactions, resolved discrepancies, and maintained accurate financial records.

If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

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