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- Tasks: Lead and oversee paraplanning teams, ensuring compliance and quality across multiple regions.
- Company: A leading regulated financial planning firm with a focus on growth and innovation.
- Benefits: Competitive salary, leadership development, and opportunities for career progression.
- Other info: Join a collaborative team dedicated to continuous improvement and regulatory excellence.
- Why this job: Make a significant impact in a dynamic environment while shaping the future of paraplanning.
- Qualifications: Extensive paraplanning experience and strong leadership skills required.
The predicted salary is between 36000 - 60000 ÂŁ per year.
This is a senior leadership role responsible for the strategic direction, technical quality, governance, and performance of a multi-region paraplanning function within a regulated financial planning firm.
The Regional Paraplanning Manager provides oversight across several regional paraplanning teams (“pods”), ensuring advice support is technically robust, compliant, scalable, and aligned with regulatory and business requirements.
Working closely with senior stakeholders across Advice Operations, Compliance, Data, and regional leadership, the role ensures paraplanning capacity, risk, and quality are proactively managed as the business evolves.
Key Responsibilities- Strategic Leadership & Operating Model
- Own and evolve a firm-wide paraplanning operating model aligned to growth, risk, and regulatory expectations.
- Provide senior leadership and direction to regional paraplanning leaders.
- Act as a senior escalation point for complex or sensitive paraplanning matters.
- Lead paraplanning teams across multiple locations, both remotely and in person.
- Performance Management & Oversight
- Design and manage paraplanning KPIs and management information (MI), leveraging CRM and workflow systems.
- Monitor capacity, productivity, turnaround times, and quality indicators across regions.
- Deliver clear, insightful reporting to senior management to support decision-making.
- Technical & Regulatory Governance
- Provide senior-level technical oversight across paraplanning activity.
- Oversee complex and high-risk advice areas, including escalation and challenge where required.
- Ensure templates, processes, and technical guidance remain compliant, consistent, and up to date.
- Maintain strong regulatory awareness and embed effective risk management controls.
- People Leadership & Development
- Lead, coach, and appraise senior paraplanners and paraplanning leaders.
- Oversee onboarding, training, and ongoing technical development frameworks.
- Support succession planning and long-term capability development.
- Act as a mentor and technical role model within the paraplanning function.
- Change & Continuous Improvement
- Lead paraplanning-related change initiatives and process improvements.
- Support implementation of regulatory, legislative, and operational changes.
- Drive consistency, scalability, and best practice across regional teams.
- Risk & Escalation Management
- Manage senior escalations, quality concerns, and potential complaints.
- Ensure risks are identified early, mitigated appropriately, and escalated when required.
- Hands-on Technical Capability
- Maintain strong technical knowledge across all areas of financial planning.
- Step into complex paraplanning cases when required for oversight, training, or capacity support.
- Extensive experience in paraplanning within a regulated financial planning environment.
- Significant people management experience, including leadership of senior team members or managers.
- Strong stakeholder management skills, operating comfortably at senior leadership level.
- Data-driven approach to performance, capacity, and risk management.
- Minimum Level 4 Diploma in Regulated Financial Planning (RO1–RO6).
- Chartered status (or working towards) preferred.
Regional Director of Quality and Compliance in London employer: fs talent
Contact Detail:
fs talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regional Director of Quality and Compliance in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning industry and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their values and how they align with your own. This will help you tailor your responses and show that you're not just a good fit for the role, but for the team too!
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors to refine your answers and boost your confidence. Focus on articulating your experience in paraplanning and how it relates to the strategic leadership required in the role.
✨Tip Number 4
Don’t forget to apply through our website! We’re always on the lookout for talented individuals who can lead and innovate in the paraplanning space. Your next big opportunity could be just a click away!
We think you need these skills to ace Regional Director of Quality and Compliance in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Regional Director of Quality and Compliance role. Highlight your experience in paraplanning and leadership, and don’t forget to showcase your technical knowledge and compliance expertise!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this senior leadership role. Mention specific examples of how you've led teams and managed compliance in the past.
Showcase Your Achievements: When detailing your experience, focus on your achievements rather than just responsibilities. Use metrics where possible to demonstrate your impact on performance and quality management 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 all the amazing talent we’re looking to bring on board!
How to prepare for a job interview at fs talent
✨Know Your Stuff
Make sure you brush up on your technical knowledge related to financial planning and paraplanning. Be prepared to discuss complex cases and demonstrate your understanding of regulatory requirements, as this role demands a high level of expertise.
✨Showcase Your Leadership Skills
Since this is a senior leadership position, be ready to share examples of how you've successfully led teams in the past. Highlight your experience in managing people, coaching, and developing talent, as well as how you've handled escalations and sensitive matters.
✨Be Data-Driven
Familiarise yourself with key performance indicators (KPIs) and management information (MI) relevant to paraplanning. Be prepared to discuss how you've used data to drive performance and make informed decisions in previous roles.
✨Engage with Stakeholders
This role requires strong stakeholder management skills, so think about how you've effectively communicated and collaborated with senior leaders in the past. Prepare to discuss your approach to building relationships and ensuring alignment across different teams.