Associate Director Compliance – Regulatory and Governance in Southampton

At Aztec, we’re committed to building and nurturing a diverse and inclusive workforce where everyone feels valued, respected, and able to grow. We know that different backgrounds, perspectives, and experiences strengthen our business and we welcome applications from all individuals. So, if your experience doesn’t exactly match with every part of the job description, but you are excited about the role, we would still like to hear from you. If you are passionate, curious, innovative and data driven, you could still be a good fit.

About the role:

Reports to Global Head of Compliance

To act as a senior regulatory authority within Aztec, providing second‑line assurance and expert leadership across the Group’s Compliance Regulatory and Governance team. function. The role drives the development, standardisation and implementation of unified regulatory policies, frameworks and across all jurisdictions, ensuring consistent regulatory compliance and effective oversight of first‑line activities. The individual will provide line management support to the Aztec Compliance Officers in each jurisdiction ensuring the alignment of operational practices and the true global operating of the team. The position strengthens the Group’s long‑term Compliance capability by promoting cross‑jurisdictional collaboration, embedding strong governance frameworks, and advancing a culture of ethical conduct, accountability and regulatory excellence.

Accountabilities:

Strategic Leadership

• Support the Head of Compliance in defining and implementing Aztec’s global Compliance strategy co-ordinating the activities of the local SME’s

• Drive collaboration and unification of approach across the group compliance regulatory and Governance function

• Prepare regular proactive updates and collation of documents for ERC and RAAC

• Act as senior escalation point of support to local SME’s on significant regulatory issues

• Oversee local SME’s participation in regulatory forums, working groups and triage committees

• Establish and maintains a cross jurisdictional operating model

Standards Setting

• Serve as a senior authority on regulatory obligations and AML standards

• Lead on the creation and maintenance of unified policies and frameworks across jurisdictions to ensure regulatory confidence and consistency

• Ensure appropriate breaches, complaints, conflicts and regulatory change registers a maintained, managed and drive appropriate consistent reporting across all jurisdictions

• Promote a strong compliance culture across the organisation through engagement, awareness campaigns and business partnering

Compliance Framework

• Establish effective governance frameworks, to ensure that adequate oversight activities are undertaken to substantiate appropriate reporting to the ERC, RAAC, Group and Jurisdictional Board

Capability Development

• Build develop and mentor a high performing regulatory and governance compliance team with deep technical capability across financial crime, regulatory change and advisory

• Oversee the Compliance training programme ensuring quality, relevance and effectiveness

• Support Succession planning, skills assessments and team development to promote future ready capability

Technical Skills:

• In-depth knowledge of key jurisdictional regulations and compliance requirements is needed.

• Lead regulatory incident management, including investigation, root cause analysis, corrective action planning and reporting.

People Skills:

• Exceptional collaboration and stakeholder management across leadership, Compliance peers, clients and regulators.

• Skilled in coaching, mentoring and supporting the development of compliance professionals across jurisdictions

• Highly effective in leading teams and stakeholders through regulatory change and transformation

Leadership Requirements:

• Articulates a clear complaince vision aligned with organisatoinal goals and emerging regulatory trends

• Shapes and Steers the long term capability of the regulatory and governance

• Works effectively across the 1st and 2nd line to provide support to build the right regulatory knowledge and capability including Financial Crime prevention within the business

• Ethical Integrity: Sets the tone for ethical conduct across Aztec, promoting a culture of Compliance, accountabilty and transparency.

• Change Leadership: Supports the drive of change in response to regulatory developments and the evolving Aztec business model. Encourages continuous improvement in compliance practices, leveraging technology and data analytics.

Experience & Qualifications:

• Certifications such as ICA Diploma or University degree

• Extensive (minimum of 10 years) experience in Compliance, AML, financial crime, or related role in the financial services industry is essential.

• Proven track record of developing and implementing Compliancestrategies.

• At least 5 years experience in a leadership role

We understand that everyone has different needs, and that’s why our employee package includes a variety of benefits. In addition to a competitive salary, here are some examples of the benefits that we may offer for our permanent roles:

• Discretionary bonus scheme
• Flexible, hybrid working
• Ability to work abroad for up to 3 weeks per annum
• Generous holiday allowance
• Pension scheme
• Private medical insurance, including eye care
• Life assurance (death in service and critical illness benefit)
• Worldwide travel insurance
• Health and wellbeing programmes
• On-site parking