Compliance Manager

Oxbow Resourcing Limited; Leeds; Hybrid; GBP 42,000 - 65,000; Full time

Benefits offered by this job

Private healthcare

Optical cover

Pension contributions up to 5%

Life cover

Quarterly pass ion days

Salary sacrifice car rental scheme

Job summary

Oxbow Resourcing Limited partners with a growing financial advice group to recruit a compliance professional. The role combines practical support to advisers with monitoring, regulatory reporting and Consumer Duty oversight, reporting to the Group Senior Compliance Manager.

You will support the annual Compliance Monitoring Plan, oversee outsourced advice file monitoring, provide practical guidance, and assist with regulatory submissions, investigations and remedial actions.

Qualifications

• Experience in financial advice compliance.
• Solid understanding of Consumer Duty and advisory processes.
• Ability to provide practical guidance and challenge when required.

Responsibilities

• Support the annual Compliance Monitoring Plan and oversee outsourced advice file monitoring.
• Provide advisers with practical compliance guidance and pre-approval support.
• Assist with Consumer Duty reporting, MI and regulatory horizon scanning.

Skills

Compliance experience

Consumer Duty knowledge

Job description

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 a broad role, combining practical support to financial advisers with monitoring, regulatory reporting and Consumer Duty.

Reporting to the Group Senior Compliance Manager, you will provide constructive challenge and help maintain strong compliance standards across the financial advisory business.

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.

Location

The role offers hybrid working from a 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.

25 days’ holiday plus bank holidays, the option to buy five additional days, private healthcare, optical cover, matched pension contributions up to 5%, life cover, quarterly “passion days” and a salary sacrifice car rental scheme.