Compliance Manager Job at Leicester LE Full Time

-Compliance Manager-

Find out if this opportunity is a good fit by reading all of the information that follows below.

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. xhkmmrq

A genuinely strong opportunity for someone looking to gain broad exposure within a growing and highly collaborative environment.