Compliance Manager

Oxbow Resourcing; Leeds; Hybrid; GBP 18,000 - 32,000; Part time

Benefits offered by this job

Private healthcare

Optical cover

Pension contributions (up to 5%)

Life cover

Holiday purchase option

Quarterly passion days

Salary sacrifice car scheme

Job summary

Oxbow Resourcing is partnering with a growing financial advisory group to recruit a part-time Compliance Manager in Leeds. The role combines practical compliance support with regulatory horizon scanning and policy maintenance, offering hybrid working from a Leeds office.

You will oversee monitoring plans, provide pre-approval guidance to advisers, contribute to Consumer Duty reporting and ensure outsourced training and submissions are compliant. Occasional travel to group locations is expected.

Qualifications

• Experienced compliance professional with financial advice background.
• Knowledge of Consumer Duty and regulatory submissions.
• Ability to provide practical compliance guidance to advisers.

Responsibilities

• Support the annual Compliance Monitoring Plan and monitor outsourced advice files.
• Provide advisers with practical compliance guidance and pre-approval support.
• Support Consumer Duty reporting, MI and regulatory horizon scanning.
• Maintain compliance policies and oversee outsourced compliance training.
• Assist with regulatory submissions, investigations and remedial actions.

Skills

Compliance management

Consumer Duty

Regulatory reporting

Policies & training

Adviser guidance

Education

Experience in financial advice compliance

Job description

COMPLIANCE MANAGER | PART-TIME | LEEDS / HYBRID

(Salary shown is pro-rata)

Part-time compliance opportunities do not come along often, particularly those offering this breadth of responsibility.

Continuing a successful recruitment partnership, Oxbow Resourcing is supporting a growing financial advice group with the next appointment to its compliance team.

This opportunity offers an experienced compliance professional the chance to make a meaningful contribution, with part-time hours available.

• Hybrid working with a Leeds-based office
• Applications considered from 22.5 hours-35 hours per week, with scope to discuss additional hours.

Reporting to the Group Senior Compliance Manager, you will provide practical compliance support and constructive challenge, principally across the Group’s financial advisory business.

The role includes:

• Supporting the annual Compliance Monitoring Plan and overseeing outsourced advice file monitoring.
• Providing advisers with practical compliance guidance and pre-approval support.
• Supporting Consumer Duty reporting, management information and regulatory horizon scanning.
• Maintaining compliance policies and overseeing outsourced compliance training.
• Assisting with regulatory submissions, complaints investigations and remedial actions.

Who are we looking for?

Someone with rounded compliance experience within financial advice, a practical understanding of advisory processes and Consumer Duty, and the confidence to offer clear, proportionate guidance.

We would also welcome conversations with experienced paraplanners looking to move into compliance.

The role offers hybrid working from the Leeds-based office and would ideally suit someone living along the M1 corridor, from North Nottinghamshire through to Leeds. Occasional travel to other Group locations will also be required- the Head Office is in Leicester.

Benefits include private healthcare, optical cover, matched pension contributions up to 5%, life cover, a holiday purchase option, quarterly “passion days” and a salary sacrifice car scheme.