-Compliance Manager-
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.
