Andrew Broughton
Compliance Officer @Bridgewater Bank
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WORK HISTORY
Compliance Officer @Bridgewater Bank
Calgary, AB, CA
EDUCATION
Liverpool John Moores University
Post Grad Diploma, Sport Psychology
University of South Wales
Bachelor of Science (BS), Sport Psychology
University of South Wales
Bachelor of Science - BS, Sport Psychology
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.
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