Andrew Broughton

Background

About Andrew Broughton

A financial services regulatory expert with over 20 years’ experience of identifying, designing, consulting, interpreting, educating, implementing, and remediating financial services regulation across the UK, Europe, US, and Canada. I have worked as a regulator, a compliance operative, a Head of regulatory implementation, and as a regulatory Subject Matter Expert (“SME”) within a consultancy practice. More than 10 years of project management experience have provided me with excellent interpersonal and communication skills, with the ability to manage both upwards and downwards, within high-performing teams. Identifying regulatory issues, providing guidance on mitigations, and assisting firms to close these regulatory gaps are key areas of the roles I have played both within, and advising to, compliance, risk, and trading functions across the financial services, and energy industries.