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.
The Role
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.