Job Description

The Regulatory Reporting and Financial Control Manager is responsible for overseeing accurate and timely regulatory reporting, financial control, and tax compliance, ensuring the delivery of robust and compliant financial information.

This role leads the Group’s regulatory reporting activities and acts as a key link between Finance, regulators, and external advisers. It also serves as a strong deputy to the Group Financial Controller, providing broader financial control support across the Financial Control leadership team as needed.

Operating as a trusted leader within Financial Control, this role supports effective decision-making, strengthens governance, and drives continuous improvement across finance processes. We welcome individuals with diverse experiences and perspectives to contribute to this work.

Key Responsibilities:

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 regular reporting and insights to stakeholders.
• Coordinate the preparation of ICARA and related regulatory documentation, working closely with Risk and other internal teams.
• Act as a key point of contact for regulatory queries, data requests, and supervisory interactions.
• Contribute knowledge and insight into establishing and maintaining lending frameworks, including ongoing monitoring and review.
• Track and assess regulatory developments, advising on impacts and supporting the implementation of new prudential requirements.

Tax Oversight

• Oversee interim and year-end current and deferred tax provisions.
• Review corporation tax and VAT returns prepared by advisers and act as a key contact for tax-related 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.

Other Responsibilities

• Support ledger integrity and financial control across the Group, ensuring key controls are well designed, documented, and operating effectively.
• Review and prepare journals and balance sheet reconciliations where needed.
• Provide technical accounting input on complex transactions, including share-based payments, investments, and acquisitions.
• Present technical information clearly to a range of audiences, including non-technical stakeholders.
• Contribute to due diligence activities and post-transaction integration where applicable.
• Maintain and enhance documentation of finance policies, procedures, and controls.
• Line manage and support the development of a direct report, encouraging growth and high performance.
• Act as deputy to the Group Financial Controller, providing cover and support across financial control activities.
• Collaborate with colleagues across Finance, Risk, Compliance, and external advisers to build effective working relationships.
• Identify opportunities to improve efficiency, accuracy, and controls within finance processes.
• Support first-line risk responsibilities, including RCSA inputs, control testing, and KRI reporting.
• Maintain a proactive, solutions-focused approach to continuous improvement and issue resolution.

Qualifications & Experience

• Fully qualified accountant (ACA, ACCA, CIMA, or equivalent).
• Post-qualified experience within a regulated financial services environment.
• Knowledge of UK regulatory reporting and prudential frameworks (FCA / PRA).
• Experience in financial control, tax oversight, and working with external advisers.
• Experience in people management, mentoring, or coaching is beneficial but not essential.

Knowledge & Skills:

• Strong technical accounting and regulatory knowledge.
• High attention to detail, with the ability to understand the broader commercial context.
• Confident communicator with strong stakeholder management skills.
• Ability to manage multiple priorities and deadlines effectively.
• Proactive, resilient, and comfortable stepping into a deputy role when needed.

What We Offer:

• 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.

At Raymond James, we:

• 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.

About Us:

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.