At a Glance
- Tasks: Support compliance monitoring, provide guidance, and assist with regulatory reporting.
- Company: Growing financial services group with a dynamic and collaborative culture.
- Benefits: Hybrid working, career development opportunities, and a chance to make a real impact.
- Other info: Ideal for those transitioning from paraplanning into Compliance.
- Why this job: Join a fast-growing team and broaden your compliance skills in a supportive environment.
- Qualifications: Experience in Financial Services Compliance and strong communication skills.
The predicted salary is between 50000 - 60000 £ per year.
Find out if this opportunity is a good fit by reading all of the information that follows below.
Financial Services | Wealth & Advisory
Hybrid Working
Office Location - Leicester and offices across the UK
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.
Compliance Manager employer: Oxbow Resourcing
Oxbow Resourcing is an exceptional employer, offering a dynamic and collaborative work culture that fosters professional growth within the financial services sector. With a focus on hybrid working and a central office in Leicester, employees benefit from a supportive environment that encourages hands-on involvement in compliance activities while navigating a period of significant growth. This role not only provides exposure to a wide range of regulatory challenges but also offers the chance to make a meaningful impact in a commercially focused setting.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the hunt for a Compliance Manager role. You never know who might have the inside scoop on an opportunity or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of Consumer Duty and regulatory compliance. We recommend creating a cheat sheet of key concepts and recent changes in regulations to impress your interviewers with your up-to-date knowledge.
✨Tip Number 3
Showcase your practical experience! When discussing your background, highlight specific examples where you've provided compliance guidance or contributed to policy development. This will demonstrate your hands-on approach and make you stand out.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experiences that match the Compliance Manager role. Highlight your experience in Financial Services Compliance and any relevant advisory or wealth management exposure.
Craft a Compelling Cover Letter:Use your cover letter to tell us why you're the perfect fit for this role. Share specific examples of how you've added value in previous positions, especially in compliance monitoring and regulatory reporting.
Showcase Your Communication Skills:Since strong communication is key for this role, make sure your application showcases your ability to engage with stakeholders effectively. Use clear and concise language throughout your application.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates about the role.
How to prepare for a job interview at Oxbow Resourcing
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those relevant to financial services. Familiarise yourself with Consumer Duty and any recent regulatory changes that could impact the role. This will show that you're proactive and genuinely interested in the field.
✨Showcase Your Communication Skills
As a Compliance Manager, you'll need to engage with various stakeholders. Prepare examples of how you've effectively communicated compliance issues or provided guidance in previous roles. This will demonstrate your ability to convey complex information clearly and build relationships.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios, such as monitoring advice files or dealing with complaints. Think through your approach to these situations beforehand, so you can provide thoughtful, practical responses during the interview.
✨Express Your Desire to Grow
This role is all about development and exposure. Be open about your career aspirations and how this position aligns with them. Highlight your eagerness to broaden your compliance knowledge and take on new challenges within a dynamic environment.
