Hybrid Compliance Manager – Consumer Duty

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

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.