Compliance Manager

Oxbow Resourcing; Leicester; On-site; GBP 55,000 - 75,000; Full time

Job summary

Oxbow Resourcing is supporting a growing financial services group with the appointment of a Compliance Manager into its central Risk & Compliance function. This is an excellent opportunity to broaden compliance exposure within a commercially focused and evolving environment in Leicester.

The role offers hands-on involvement across Consumer Duty, compliance monitoring, policy development and advisory support.

Qualifications

• Experience within Financial Services Compliance
• Exposure to advisory / wealth / IFA environments
• Strong communication and stakeholder engagement skills
• A practical and commercially aware approach to Compliance
• A desire to broaden their remit and develop further professionally
• This role would also suit individuals transitioning from paraplanning into Compliance

Responsibilities

• Support the delivery of the Compliance Monitoring Plan
• Oversight of advice file monitoring activity
• Provide practical compliance guidance to advisers
• Support policy and framework development
• Assist with Consumer Duty and regulatory reporting
• Horizon scanning and regulatory change support
• Support complaints and incident investigations

Skills

Financial Services Compliance

Stakeholder Engagement

Regulatory Knowledge

Commercial Awareness

Communication Skills

Job description

Oxbow Resourcing is supporting a growing financial services group with the appointment of a Compliance Manager into its central Risk & Compliance function.

This is an excellent opportunity for someone looking to broaden their Compliance exposure within a commercially focused and evolving environment.

The role sits within a growing group structure and offers hands-on involvement across a wide range of regulatory and advisory compliance activities, including Consumer Duty, compliance monitoring, regulatory reporting, policy development and advisory support.

The business is currently going through a significant period of growth and development, making this an ideal opportunity for someone who enjoys working within a dynamic environment where they can genuinely add value and develop their career.

Key responsibilities include:

• Supporting the delivery of the Compliance Monitoring Plan
• Oversight of advice file monitoring activity
• Providing practical compliance guidance to advisers
• Supporting policy and framework development
• Assisting with Consumer Duty and regulatory reporting
• Horizon scanning and regulatory change support
• Supporting complaints and incident investigations

Suitable candidates are likely to have:

• Experience within Financial Services Compliance
• Exposure to advisory / wealth / IFA environments
• Strong communication and stakeholder engagement skills
• A practical and commercially aware approach to Compliance
• A desire to broaden their remit and develop further professionally

This role would also suit individuals transitioning from paraplanning into Compliance.

A genuinely strong opportunity for someone looking to gain broad exposure within a growing and highly collaborative environment.