At a Glance
- Tasks: Support Advisers in meeting compliance and regulatory commitments while managing relationships.
- Company: Dynamic firm focused on compliance and regulatory oversight.
- Benefits: Competitive salary, car allowance, 26 days holiday, and private medical insurance.
- Other info: Opportunity for career growth in a relationship-led advisory role.
- Why this job: Make a real impact by helping Advisers operate safely and compliantly.
- Qualifications: Experience in compliance, strong communication skills, and analytical mindset required.
The predicted salary is between 50000 - 65000 £ 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- 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)
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 Lead for Adviser Oversight in Cambridge employer: Phoenix Talent Partners
As a Regional Compliance Lead for Adviser Oversight, you will join a dynamic team that values collaboration and professional growth. Our company offers a competitive salary, generous holiday allowance, and a supportive work culture that prioritises employee well-being and development. With opportunities to build meaningful relationships and make a real impact in the compliance landscape, this role is perfect for those seeking a rewarding career in a thriving environment.
StudySmarter Expert Advice🤫
We think this is how you could land Regional Compliance Lead for Adviser Oversight in Cambridge
✨Tip Number 1
Network like a pro! Attend industry events, webinars, and local meet-ups to connect with other compliance professionals. 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 relevant articles or insights to position yourself as a thought leader in the field.
✨Tip Number 3
Prepare for interviews by researching the company’s compliance culture and recent regulatory challenges. Tailor your responses to demonstrate how your skills can help them navigate these issues effectively.
✨Tip Number 4
Don’t forget to apply through our website! We’re always on the lookout for talented individuals who can support Advisers in meeting their compliance commitments. Your next opportunity could be just a click away!
We think you need these skills to ace Regional Compliance Lead for Adviser Oversight in Cambridge
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 Lead for Adviser Oversight.
Showcase Your Communication Skills:Since this role is all about building strong relationships, don’t forget to demonstrate your excellent communication skills. Use clear and concise language in your application to reflect your ability to convey complex information effectively.
Highlight Relevant Experience:Be sure to mention any previous roles where you’ve managed compliance or worked closely with advisers. We’re looking for specific examples that show how you’ve tackled regulatory challenges and supported firms in a similar capacity.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for this fantastic opportunity to make a real impact in compliance.
How to prepare for a job interview at Phoenix Talent Partners
✨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 genuinely passionate about it.
✨Build Rapport
Since this role is all about building strong relationships with Advisers, practice your interpersonal skills. Think of examples where you've successfully built trust and rapport in previous roles, and be ready to share them during the interview.
✨Showcase Your Analytical Skills
Prepare to discuss how you've identified and managed risks in past positions. Use specific examples to demonstrate your analytical mindset and decision-making abilities, as these are crucial for the role.
✨Ask Insightful Questions
Come prepared with questions that show your interest in the company and the role. Ask about their approach to compliance oversight or how they support Advisers in meeting their regulatory commitments. This will highlight your proactive attitude and genuine interest.
