Thomas Dudley Email & Phone Number

Hambrook, Gb

Hambrook, Gb

London Area, United Kingdom

Bristol, England, United Kingdom

Greater Bristol Area, United Kingdom

Founder of a group of consultancy businesses providing advice, capability and solutions to regulated firms and FinTech companies in the financial services sector.• Develop and execute the overall strategic vision of the business, ensuring alignment with technology innovation, industry regulations and client needs.• Provide strong leadership to a team of consultants, leveraging in-depth compliance knowledge to guide the development and implementation of effective solutions for… Show more Founder of a group of consultancy businesses providing advice, capability and solutions to regulated firms and FinTech companies in the financial services sector.• Develop and execute the overall strategic vision of the business, ensuring alignment with technology innovation, industry regulations and client needs.• Provide strong leadership to a team of consultants, leveraging in-depth compliance knowledge to guide the development and implementation of effective solutions for clients, fostering a culture of excellence and regulatory adherence. Show less

Bath, England, United Kingdom

I operate as a key member of the Group company Boards with responsibility for pro-active management of governance, risk, compliance and information security strategy. I have led a range of transformation programmes which has included Service Optimisation, DFM incorporation and platform integration. I also set and executed the strategy which covered a wide range of corporate M&A activity, including incorporation, authorisation, rebrand, acquisition, legal entity integration and wind… Show more I operate as a key member of the Group company Boards with responsibility for pro-active management of governance, risk, compliance and information security strategy. I have led a range of transformation programmes which has included Service Optimisation, DFM incorporation and platform integration. I also set and executed the strategy which covered a wide range of corporate M&A activity, including incorporation, authorisation, rebrand, acquisition, legal entity integration and wind down. I also drove regulatory change as the Executive Sponsor of the Consumer Duty, IFPR and Operational Resilience programmes ensuring the group and its’ culture is focused on customer outcomes and identifying intolerable harms, progressing this through new group functions, policy, framework, MI and KRIs. I successfully oversaw the migration of assets under management between platforms including different third-party technologies and successfully managed complex asset transfer approaches, customer communications and outcomes, and led FCA engagement. Show less

Bath, England, United Kingdom

As the interim COO, I devised the service improvement strategy including the adoption of new telephony and workflow systems and led the implementation of new platform technologies into platform operations to drive efficiencies and opportunities through new organisational design and work practices.

Bristol, United Kingdom

In this role, I was the C-suite and Board member with the responsibility for the pro-active management and oversight of governance, risk and compliance strategy. Led the Risk Management, Compliance, Data Protection and Financial Crime functions. I successfully led and implemented the risk management strategy and governance approach. I embedded best practice in risk and control assessment, KRIs and monitoring frameworks including chairing the Executive Risk Committee on behalf of the… Show more In this role, I was the C-suite and Board member with the responsibility for the pro-active management and oversight of governance, risk and compliance strategy. Led the Risk Management, Compliance, Data Protection and Financial Crime functions. I successfully led and implemented the risk management strategy and governance approach. I embedded best practice in risk and control assessment, KRIs and monitoring frameworks including chairing the Executive Risk Committee on behalf of the Board.I created and maintained the risk and compliance advisory services, embedded within agile delivery and change teams, to support the firm’s ambition and strategy covering direct to consumer product launches, robo-advice, joint venture partnerships, and pension consolidation services. This included devising the commercial and corporate structures to facilitate strategic partnerships and revenue sharing for new propositions and white-labelled platform offerings with joint ventures.I was also the Executive Director for Wealth Horizon, a firm providing robo-advice services, responsible for maintaining the proposition and good customer outcomes, ultimately deciding to, and leading on, the wind down of the firm. Show less

Bristol

As the Head of Risk & Compliance, I successfully led the overall organisation’s compliance and risk management function covering regulatory, operational, and prudential compliance and assurance management. I embedded advisory and guidance services across the organisation focused on policies, procedures, and culture for risk management and compliance including incident and breach management and complaint oversight management. I also managed the relationship with the regulator and… Show more As the Head of Risk & Compliance, I successfully led the overall organisation’s compliance and risk management function covering regulatory, operational, and prudential compliance and assurance management. I embedded advisory and guidance services across the organisation focused on policies, procedures, and culture for risk management and compliance including incident and breach management and complaint oversight management. I also managed the relationship with the regulator and industry bodies and ensuring operating models, joint ventures, acquisitions, and commercial developments were reflective of regulatory standards and risks. I led and delivered the project for the MIFID II implementation for the Executive and Board covering resource planning, development and delivery into day-to-day operating practices, policies and procedures. Show less

Bristol, England, United Kingdom

Director and Board Member of Self Directed Investment Limited (trading as Wealth Horizon) a first to market online investment ("Robo") advice service that made investing simple, accessible and affordable.

Bristol, United Kingdom

Provided compliance guidance to projects and working parties in relation to new products, initiatives and on complex regulatory issues for the Elevate platform and SunLife insurance business. Responsible for driving forthcoming regulatory change, business delivery and briefing ExCo and Board as appropriate. Established and embedded compliance standard and policy in both 1st and 2nd line of defence and refreshed the firm’s three lines of defence model. Developed and maintained suitable… Show more Provided compliance guidance to projects and working parties in relation to new products, initiatives and on complex regulatory issues for the Elevate platform and SunLife insurance business. Responsible for driving forthcoming regulatory change, business delivery and briefing ExCo and Board as appropriate. Established and embedded compliance standard and policy in both 1st and 2nd line of defence and refreshed the firm’s three lines of defence model. Developed and maintained suitable frameworks and controls for managing compliance breaches, reporting and senior management ownership. Coordinated and facilitated external CASS audits and interaction with the FCA.• Appointed 2nd line CASS SME with responsibility for CASS oversight, supporting CF10a and facilitating external CASS audit. Regulatory lead on PS14/9 successfully implementing prudent segregation policy and embedding ISEM. • Key compliance stakeholder on successful high-profile mandatory projects (MiFID II, RDR2, pension reforms, transaction reporting, CASS external asset reconciliation). • Responsible for financial promotion policy for 4 separate regulated entities. Owned and developed policies and set firm’s advertising standards. • Developed compliance function risk framework and process controls, and annual delivery of Elevate Compliance Plan for CF10 and on to ExCo. • Member of CASS Governance Committee, Investment Committee and chair of Financial Promotions Policy Committee. • Identified as ‘talent’ and completed the AXA Developing Future Executive Leaders programme. Show less

Bristol, United Kingdom

Responsible for providing regulatory guidance to change projects and on product launches within the RBS Retail Banking division. Advised the business on potential risks and issues both in terms of existing regulation and legislation, and future potential changes in the regulatory landscape. Engaged with the sales force, operational areas and support functions to ensure the business continued to meet its regulatory obligations. • Regulatory lead on successful implementation of an income… Show more Responsible for providing regulatory guidance to change projects and on product launches within the RBS Retail Banking division. Advised the business on potential risks and issues both in terms of existing regulation and legislation, and future potential changes in the regulatory landscape. Engaged with the sales force, operational areas and support functions to ensure the business continued to meet its regulatory obligations. • Regulatory lead on successful implementation of an income protection product ensuring comprehensive adherence to the Competition Commission PPI remedies. • Delivered compliance training to the national sales force within the retail branch network. Show less

Zürich Area, Switzerland

Responsible for the integrity, confidentiality and availability of business information in line with security standards, risk procedures, certificates and reviews. • Established and led the Coutts UK Business Security Operations Team with the remit of ensuring robust information security controls within Coutts UK’s core investment platforms and banking systems. • Responsible for procuring and implementing a new global user access management system for RBS Coutts in Zurich, Switzerland… Show more Responsible for the integrity, confidentiality and availability of business information in line with security standards, risk procedures, certificates and reviews. • Established and led the Coutts UK Business Security Operations Team with the remit of ensuring robust information security controls within Coutts UK’s core investment platforms and banking systems. • Responsible for procuring and implementing a new global user access management system for RBS Coutts in Zurich, Switzerland. • Senior IT Security stakeholder on the Coutts Wealth Transformation Programme which delivered successful re-platforming. Show less

Bristol, United Kingdom

Responsible for 4 separate investment operation functions (Product Fees, Investment Administration, Payments and Product Migrations). Responsible for a team of 20. Directed, planned, and controlled workflow and resource, taking into consideration future events, projects and product launches. • Identified and addressed issues with initial fee charging resulting in an increase in firm revenue of circa £1.1million per annum. Winning Coutts 2006 Unsurpassed Award. • Migrated and successful… Show more Responsible for 4 separate investment operation functions (Product Fees, Investment Administration, Payments and Product Migrations). Responsible for a team of 20. Directed, planned, and controlled workflow and resource, taking into consideration future events, projects and product launches. • Identified and addressed issues with initial fee charging resulting in an increase in firm revenue of circa £1.1million per annum. Winning Coutts 2006 Unsurpassed Award. • Migrated and successful embedded operational processes from London office into Bristol (Product Fees, Model Portfolio Performance, Client Reporting). Show less

Bristol, United Kingdom

CF27 responsible for the active management of both model and bespoke investment portfolios for high-net worth individuals on both a discretionary and advisory basis. Conducted periodic and ad hoc reviews of private client portfolios consisting of direct equities, investment funds and fixed interest securities. Full consideration given to client investment objectives, restrictions and personal tax circumstances.• In excess of £50 million worth of investments under my direct management with… Show more CF27 responsible for the active management of both model and bespoke investment portfolios for high-net worth individuals on both a discretionary and advisory basis. Conducted periodic and ad hoc reviews of private client portfolios consisting of direct equities, investment funds and fixed interest securities. Full consideration given to client investment objectives, restrictions and personal tax circumstances.• In excess of £50 million worth of investments under my direct management with portfolio values ranging from £100k to £1.5 million. Show less

Business Studies

Education record