-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:
β’ Supporting the delivery of the Compliance Monitoring Plan
β’ Oversight of advice file monitoring activity
β’ Providing practical compliance guidance to advisers
β’ Supporting policy and framework development
β’ Assisting with Consumer Duty and regulatory reporting
β’ Horizon scanning and regulatory change support
β’ Supporting complaints and incident investigations
Suitable candidates are likely to have:
β’ Experience within Financial Services Compliance
β’ Exposure to advisory / wealth / IFA environments
β’ Strong communication and stakeholder engagement skills
β’ A practical and commercially aware approach to Compliance
β’ 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.