At a Glance
- Tasks: Support Advisers in meeting compliance and regulatory commitments while managing relationships.
- Company: Dynamic firm focused on compliance and advisory services.
- Benefits: Competitive salary, car allowance, 26 days holiday, and private medical insurance.
- Other info: Opportunity for career growth in a relationship-led environment.
- Why this job: Make a real impact by helping firms operate safely and compliantly.
- Qualifications: Strong compliance experience, excellent communication skills, and analytical mindset.
The predicted salary is between 60000 - 80000 £ per year.
Calling out to those who really get a kick out of supporting Advisers to meet their compliance and regulatory commitments. You will be well versed in current and emerging regulatory challenges and be adaptable in order to work effectively across a variety of business models, stakeholders and advisory settings.
This is a fantastic opportunity to build meaningful relationships with Advisers, supporting them to operate safely, compliantly, and effectively.
Key responsibilities include:
- Managing a panel of firms, delivering tailored regulatory oversight
- Acting as the main compliance contact for your firms, building strong, trusted relationships
- Conducting annual assessments and bespoke firm visits based on risk profiles
- Identifying regulatory, operational, and reputational risks and implementing appropriate controls
- Developing and agreeing action plans with firms to address areas of concern
- Coaching and supporting AR Principals to strengthen governance and meet Network standards
- Reviewing risk assessment data and analysing trends to inform supervisory activity
- Conducting inspections, producing reports, and escalating issues where required
- Managing identified risks through to resolution in line with Network appetite
- Planning and scheduling own field visits (approx. 2-3 days per month)
The Person
We're looking for an experienced compliance professional who thrives in a relationship-led, advisory role. You'll bring:
- Strong experience in field supervision, T&C or compliance monitoring
- Confidence in assessing firms and advisers, with sound judgement and decision-making
- Excellent communication and questioning skills
- A naturally analytical and inquisitive mindset
- Experience within Network/National and IFA/restricted advice models
- QCF Level 4 (or equivalent)
You're someone who can challenge constructively, coach effectively, and build trusted partnerships while maintaining a sharp focus on risk and regulatory standards.
The Benefits
- Competitive salary and car allowance
- 26 days holiday
- Annual bonus
- Non-contributory pension scheme
- Private medical insurance
- Life assurance (4x salary)
- Income protection
If you're looking for a role where you can combine compliance expertise with relationship building and real impact-this could be the next step for you.
Regional Compliance Director in London employer: Broughton Group
As a Regional Compliance Director, you will join a dynamic and supportive work culture that prioritises professional growth and meaningful relationships with Advisers. With an excellent package that includes a competitive salary, generous holiday allowance, and comprehensive benefits such as private medical insurance and a non-contributory pension scheme, this role offers the perfect blend of compliance expertise and impactful advisory work in the South/Midlands region. The company fosters an environment where your skills are valued, and you can thrive while making a real difference in the compliance landscape.
StudySmarter Expert Advice🤫
We think this is how you could land Regional Compliance Director in London
✨Tip Number 1
Network like a pro! Attend industry events, webinars, and local meet-ups to connect with professionals in compliance. Building relationships can lead to job opportunities that aren't even advertised yet.
✨Tip Number 2
Showcase your expertise! Create a LinkedIn profile that highlights your compliance experience and achievements. Share articles or insights related to regulatory challenges to position yourself as a thought leader in the field.
✨Tip Number 3
Prepare for interviews by researching the company’s compliance culture. Be ready to discuss how you can help them navigate regulatory challenges and build strong relationships with advisers.
✨Tip Number 4
Don’t forget to apply through our website! We’re always on the lookout for talented compliance professionals who can make a real impact. Your next opportunity could be just a click away!
We think you need these skills to ace Regional Compliance Director in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance and relationship management. We want to see how your skills align with the role of Regional Compliance Director, so don’t hold back on showcasing your relevant achievements!
Showcase Your Communication Skills:Since this role is all about building strong relationships, it’s crucial to demonstrate your excellent communication skills. Use clear and concise language in your application, and consider including examples of how you've effectively communicated with stakeholders in the past.
Highlight Your Analytical Mindset:We’re looking for someone with a naturally analytical and inquisitive mindset. In your application, mention specific instances where you’ve identified risks or trends and how you’ve addressed them. This will show us that you can think critically and act decisively.
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it gives you a chance to explore more about StudySmarter and what we stand for.
How to prepare for a job interview at Broughton Group
✨Know Your Regulations
Make sure you brush up on the latest compliance regulations and challenges relevant to the role. Being able to discuss current and emerging regulatory issues will show that you're not just knowledgeable but also proactive in your field.
✨Build Rapport
Since this role is all about building relationships, practice how you can connect with interviewers. Think of examples where you've successfully built trust with advisers or stakeholders, and be ready to share those stories.
✨Show Your Analytical Skills
Prepare to demonstrate your analytical mindset. Bring examples of how you've identified risks and implemented controls in previous roles. This will highlight your ability to think critically and make sound decisions.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions. Inquire about the company’s approach to compliance challenges or how they support their Advisers. This shows your genuine interest and helps you gauge if the company aligns with your values.
