Job Description

This role sits within a regulatory supervision team and is responsible for overseeing a portfolio of regulated firms operating within a financial services ecosystem. The position focuses on assessing conduct, compliance, governance, and operational risks through ongoing supervision, onsite reviews, investigations, stakeholder engagement, data analysis, and thematic projects. The individual will identify potential regulatory breaches, challenge firms on their risk management and control frameworks, recommend remediation actions, and contribute to broader supervisory and policy initiatives.

Key Responsibilities:

• Conduct ongoing supervision of assigned regulated firms, monitoring compliance with regulatory requirements and identifying emerging risks within the portfolio
• Plan and execute onsite reviews and examinations to assess conduct, compliance, governance, and operational risk management frameworks
• Perform detailed analysis of firm data, regulatory returns, and performance metrics to identify trends, anomalies, and areas of concern
• Lead investigations into potential regulatory breaches, misconduct, or control failures, documenting findings and evidence
• Engage with firm management and key stakeholders to challenge risk management practices, discuss findings, and agree on remediation timelines
• Develop and recommend supervisory actions, including remediation plans, enforcement measures, or policy adjustments
• Contribute to thematic projects and supervisory initiatives that address sector-wide risks or emerging regulatory issues
• Prepare comprehensive supervisory reports, risk assessments, and recommendations for senior management review
• Maintain detailed supervision files and documentation in compliance with regulatory standards and audit requirements

Candidate Profile

We are looking for candidates who bring substantial experience in financial services regulation, compliance, or risk management, combined with strong analytical capabilities and the ability to work effectively within a risk-based oversight environment. The ideal candidate will demonstrate sound judgment, professional credibility, and the capacity to engage confidently with senior firm leadership while maintaining regulatory independence and objectivity.

Experience & Expertise Required:

• 5–7+ years of experience in compliance, conduct risk, regulatory supervision, internal audit, risk management, wealth management, asset management, or related financial services functions
• Demonstrated experience in assessing and challenging risk management and control frameworks within regulated organisations
• Proven ability to conduct investigations, analyse complex data, and identify regulatory breaches or control weaknesses
• Experience working within a risk-based supervision or oversight environment
• Knowledge of financial services regulations, conduct standards, and governance requirements
• Proficiency with data analysis tools and the ability to extract, interpret, and present insights from regulatory datasets

Qualities & Work Approach:

• Strong analytical and problem-solving skills with attention to detail and rigorous documentation practices
• Excellent stakeholder management and communication abilities, capable of engaging with diverse audiences from operational staff to board-level executives
• Professional judgment and integrity, with the ability to maintain regulatory independence and objectivity
• Proactive approach to identifying risks and recommending practical, proportionate remediation actions
• Collaborative mindset with the ability to contribute to broader supervisory initiatives and share knowledge across the team
• Adaptability and resilience in a dynamic regulatory environment

Role Impact & Success:

This position plays a critical role in protecting the financial services ecosystem by ensuring regulated firms maintain robust controls and comply with regulatory standards. Success is measured by the quality of supervisory oversight, the effectiveness of risk identification and remediation, and the contribution to a safer, more resilient financial services sector.