Thomas Dudley Email & Phone Number

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.
• 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.

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.

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.

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.

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.
• 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.
• 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.

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.
• 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.
• 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.
• 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.
• 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.
• 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.
• 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.
• 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