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: Experience in compliance, strong communication skills, and QCF Level 4 or equivalent.
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 employer: Broughton Group
As a Regional Compliance Director, you will join a dynamic team that values collaboration and professional growth, offering 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. Our work culture fosters strong relationships with Advisers, empowering you to make a real impact while navigating the complexities of compliance in a supportive environment. With opportunities for coaching and development, this role is perfect for those looking to advance their career in a meaningful way.
StudySmarter Expert Advice🤫
We think this is how you could land Regional Compliance Director
✨Tip Number 1
Network like a pro! Attend industry events and connect with compliance professionals. Building relationships can open doors to opportunities that aren’t even advertised.
✨Tip Number 2
Showcase your expertise in interviews. Be ready to discuss real-life scenarios where you’ve tackled compliance challenges. This will demonstrate your analytical mindset and decision-making skills.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After interviews, send a quick thank-you note. It keeps you on their radar and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website! We’re always looking for talented individuals who can thrive in a relationship-led, advisory role. Your next big opportunity could be just a click away!
We think you need these skills to ace Regional Compliance Director
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the role of Regional Compliance Director. Highlight your experience in compliance, field supervision, and relationship building. We want to see how you’ve tackled regulatory challenges in the past!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to tell us why you’re passionate about compliance and how you can support Advisers effectively. Be sure to mention specific examples that showcase your skills and experience.
Showcase Your Analytical Skills:Since the role involves assessing risks and analysing trends, make sure to highlight any relevant analytical experience. We love seeing how you’ve used data to inform decisions or improve processes in previous roles.
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and keep track of it. Plus, it shows you’re keen on joining the StudySmarter team!
How to prepare for a job interview at Broughton Group
✨Know Your Regulations
Make sure you brush up on current and emerging regulatory challenges relevant to the role. Being able to discuss these confidently will show that you're not just familiar with compliance, but that you’re proactive about staying informed.
✨Build Rapport
Since this role is all about relationship-building, practice how you can establish trust quickly. Think of examples from your past where you've successfully built relationships with advisers or stakeholders, and be ready to share those stories.
✨Show Your Analytical Side
Prepare to demonstrate your analytical skills by discussing how you've identified risks in previous roles. Bring specific examples of how you’ve used data to inform decisions or improve compliance processes.
✨Ask Insightful Questions
At the end of the interview, have a few thoughtful questions ready. This could be about their approach to compliance or how they support their advisers. It shows you’re genuinely interested and engaged with the role.
