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 40000 - 50000 £ 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.
Manager Regulatory 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 activities, employees benefit from hands-on involvement in a rapidly evolving environment, alongside opportunities for career development and exposure to a wide range of compliance functions. The hybrid working model and central office location in Leicester further enhance the appeal, making it an ideal workplace for those seeking meaningful and rewarding employment.
StudySmarter Expert Advice🤫
We think this is how you could land Manager Regulatory 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 a Compliance Manager role. You never know who might have the inside scoop on opportunities 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 with key points and examples from your past experience that showcase your skills in these areas.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you, and tailor your approach to each company’s culture and mission.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share a brief insight or idea related to the discussion to show your enthusiasm and commitment to the role.
We think you need these skills to ace Manager Regulatory Compliance in Leicester
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experiences that align with the Compliance Manager role. Highlight your experience in financial services compliance and any relevant advisory work to catch our eye!
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 your background makes you a great fit for our dynamic environment. Be sure to mention specific experiences that relate to the key responsibilities.
Showcase Your Communication Skills:Strong communication is key in this role, so make sure your application reflects that. Use clear, concise language and structure your documents well. We want to see how you engage with stakeholders through your writing!
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 the role. Plus, it shows you’re keen on joining our team!
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 advisory practices.
✨Showcase Your Communication Skills
Since strong communication is key for this role, prepare examples that highlight your ability to engage with stakeholders effectively. Think about times when you provided practical compliance guidance or resolved conflicts through clear communication.
✨Demonstrate Your Commercial Awareness
This role requires a practical and commercially aware approach to compliance. Be prepared to discuss how compliance can add value to a business and share your thoughts on balancing regulatory requirements 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.
