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 hands-on involvement in compliance activities.
- Other info: Ideal for those transitioning from paraplanning to Compliance.
- Why this job: Join a thriving team and make a real impact in a fast-paced environment.
- Qualifications: Experience in Financial Services Compliance and strong communication skills.
The predicted salary is between 50000 - 70000 £ per year.
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.
Director, Regulatory Affairs & Quality in Leicester 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 compliance and regulatory affairs, employees benefit from hands-on involvement in diverse activities while enjoying the flexibility of hybrid working arrangements. The company's commitment to employee development and its significant growth trajectory make it an ideal place for those seeking meaningful and rewarding careers in Leicester and beyond.
StudySmarter Expert Advice🤫
We think this is how you could land Director, Regulatory Affairs & Quality in Leicester
✨Tip Number 1
Network like a pro! Reach out to people in the financial services sector, especially those in compliance roles. Attend industry events or webinars to make connections and learn about potential job openings.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of current regulations and compliance practices. We recommend creating a cheat sheet of key topics to discuss, so you can impress your interviewers with your expertise.
✨Tip Number 3
Showcase your adaptability! Highlight experiences where you've successfully navigated changes in regulations or policies. This will demonstrate your ability to thrive in a dynamic environment, which is exactly what employers are looking for.
✨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 Director, Regulatory Affairs & Quality in Leicester
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the role of Compliance Manager. Highlight your experience in Financial Services Compliance and any relevant advisory or wealth management exposure. We want to see how your skills align with the key responsibilities listed in the job description.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can add value to our growing team. Be sure to mention specific experiences that relate to the responsibilities, like supporting policy development or compliance monitoring.
Showcase Your Communication Skills:Strong communication is key in this role, so make sure to demonstrate your stakeholder engagement skills in your application. Whether it's through your CV or cover letter, let us know how you've effectively communicated compliance guidance in the past.
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’re considered for this exciting opportunity. Plus, it shows you’re keen on joining our dynamic environment!
How to prepare for a job interview at Oxbow Resourcing
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of financial services compliance, especially around Consumer Duty and regulatory reporting. Familiarise yourself with the latest regulations and be ready to discuss how they impact the role you're applying for.
✨Showcase Your Communication Skills
Since strong communication is key in this role, prepare examples that highlight your ability to engage with stakeholders effectively. Think about times when you've provided practical compliance guidance or worked collaboratively with advisers.
✨Demonstrate Your Commercial Awareness
This position requires a commercially aware approach to compliance. Be prepared to discuss how compliance can add value to a business and share any experiences where you've successfully balanced compliance with commercial objectives.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions. Inquire about the company's growth plans, the challenges they face in compliance, or how they support professional development. This shows your genuine interest in the role and the company.
