Manager - Regulatory Reporting & Financial Control

We are looking for a highly skilled and motivated Regulatory Reporting and Financial Control Manager to join our London\-based team. This is a key role within Finance, responsible for delivering accurate and timely regulatory reporting, financial control, and tax compliance, ensuring robust and high\-quality financial information.

The role leads the Group’s regulatory reporting activities and acts as a key link between Finance, regulators, and external advisers. It also supports the development and oversight of Lombard lending, bringing valuable insight into lending frameworks and ongoing monitoring.

As a trusted leader within Financial Control, you will act as a strong deputy to the Group Financial Controller, contributing to strategic decision\-making, strengthening governance, and driving continuous improvement across finance processes.

Key Areas of Responsibility:

Regulatory Reporting and Prudential Oversight

• Lead the preparation and submission of all regulatory returns (including MIFIDPRU / IFPR), ensuring accuracy, timeliness, and compliance.


• Monitor and assess the Group’s capital adequacy and liquidity position, providing insightful internal reporting.


• Coordinate the preparation of ICARA and related regulatory documentation, working closely with Risk and key stakeholders.


• Act as a primary point of contact for regulatory queries, data requests, and supervisory interactions.


• Support the development and ongoing oversight of Lombard lending frameworks, including monitoring and review.


• Track and assess regulatory developments, advising on impacts and supporting the implementation of new prudential requirements.

• Oversee interim and year\-end current and deferred tax provisions.


• Review corporation tax and VAT returns prepared by advisers and act as the first point of contact for tax queries.


• Liaise with HMRC and external tax advisers on compliance, enquiries, and advisory matters.


• Support additional tax initiatives such as capital allowances or R\&D claims where required.

• Support ledger integrity and financial control across the Group, ensuring key controls are designed, documented, and operating effectively.


• Review and prepare journals and balance sheet reconciliations where required.


• Provide technical accounting input on complex transactions, including share\-based payments, investments, and acquisitions.


• Present technical information clearly to both technical and non\-technical stakeholders.


• Contribute to due diligence activities and post\-transaction integration where applicable.


• Own and enhance finance policies, procedures, and control documentation.


• Line manage and develop a direct report, promoting high performance and continuous development.


• Act as deputy to the Group Financial Controller, providing cover and escalation support.


• Collaborate closely with Finance, Risk, Compliance, and external advisers.


• Identify opportunities to improve efficiency, accuracy, and control across finance processes.


• Support first line risk responsibilities, including RCSA inputs, control testing, and KRI reporting.


• Take a proactive, solutions\-focused approach to continuous improvement and issue resolution.

• Fully qualified accountant (ACA / ACCA / CIMA or equivalent).


• Post\-qualification experience within a regulated financial services environment.


• Strong knowledge of UK regulatory reporting and prudential frameworks (FCA / PRA).


• Experience in financial control, tax oversight, and working with external advisers.


• Experience or exposure to lending environments (including Lombard lending) is highly desirable.


• People management or coaching experience (preferred).

• Strong technical accounting and regulatory expertise.


• Excellent attention to detail, with the ability to understand the broader commercial context.


• Confident communicator with strong stakeholder management skills.


• Ability to manage competing priorities and deadlines in a fast\-paced environment.


• Proactive, resilient, and comfortable acting as a deputy and escalation point.

• A collaborative, values\-driven culture where integrity and client\-first thinking are paramount.


• The opportunity to shape a growing service within a respected and stable firm.

• Put clients first – always.


• Act with integrity – doing what’s right, not what’s easy.


• Think long term – building a stable, responsible future.


• Value independence – celebrating individuality and encouraging innovation.

Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades. Raymond James is listed on the NYSE, is a Fortune 500 company, and is included in the S\&P 500\.

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