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 60000 - 80000 £ 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 & Quality Compliance 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 excellence, 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 & Quality Compliance in Leicester
✨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 lookout for opportunities. You never know who might have the inside scoop on a Compliance Manager role or can put in a good word for you.
✨Tip Number 2
Get your LinkedIn game on point! Make sure your profile is up-to-date and highlights your experience in compliance, especially in advisory and wealth environments. Engage with relevant content and connect with industry professionals to increase your visibility.
✨Tip Number 3
Prepare for interviews by brushing up on key compliance topics like Consumer Duty and regulatory reporting. Be ready to discuss how you've added value in previous roles and how you can contribute to a growing team. Confidence is key!
✨Tip Number 4
Don't forget to apply through our website! We’ve got some fantastic opportunities waiting for you, and applying directly can sometimes give you an edge. Plus, it shows you're genuinely interested in being part of our dynamic environment.
We think you need these skills to ace Director, Regulatory & Quality Compliance 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 roles. We want to see how your skills align with the key responsibilities mentioned 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 listed in the job description.
Showcase Your Communication Skills:Strong communication is key in this role, so make sure your application reflects that. Use clear and concise language, and don’t shy away from demonstrating your stakeholder engagement skills through examples in your CV or cover letter.
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
Prepare thoughtful questions about the company's growth plans and how the compliance function supports these goals. This shows your genuine interest in the role and helps you understand how you can contribute to their evolving environment.
