At a Glance
- Tasks: Support Advisers in meeting compliance and regulatory commitments while managing relationships.
- Company: Dynamic firm in Southampton 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 Advisers operate safely and compliantly.
- Qualifications: Experience in compliance, strong communication skills, and QCF Level 4 or equivalent.
The predicted salary is between 50000 - 60000 £ per year.
Regional Compliance Managers - South/Midlands - Excellent Package
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/ 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 Manager in Southampton employer: Energy Jobline ZR
As a Regional Compliance Manager in Southampton, you will join a dynamic team that values collaboration and professional growth. Our supportive work culture fosters strong relationships with Advisers, ensuring compliance while offering tailored oversight and coaching. With competitive benefits including a generous holiday allowance, annual bonus, and private medical insurance, we are committed to your well-being and career development in a thriving regulatory environment.
