Continuing a successful recruitment partnership, Oxbow Resourcing is supporting a growing financial advice group with the next appointment to its compliance team.
This opportunity offers an experienced compliance professional a broad role, combining practical support to financial advisers with monitoring, regulatory reporting and Consumer Duty.
Reporting to the Group Senior Compliance Manager, you will provide constructive challenge and help maintain strong compliance standards across the financial advisory business.
Role includes:
- Supporting the annual Compliance Monitoring Plan and overseeing outsourced advice file monitoring.
- Providing advisers with practical compliance guidance and pre-approval support.
- Supporting Consumer Duty reporting, management information and regulatory horizon scanning.
- Maintaining compliance policies and overseeing outsourced compliance training.
- Assisting with regulatory submissions, complaints investigations and remedial actions.
Who are we looking for?
Someone with rounded compliance experience within financial advice, a practical understanding of advisory processes and Consumer Duty, and the confidence to offer clear, proportionate guidance.
We would also welcome conversations with experienced paraplanners looking to move into compliance.
Location
The role offers hybrid working from a Leeds-based office and would ideally suit someone living along the M1 corridor, from North Nottinghamshire through to Leeds. Occasional travel to other Group locations will also be required.
25 days’ holiday plus bank holidays, the option to buy five additional days, private healthcare, optical cover, matched pension contributions up to 5%, life cover, quarterly “passion days” and a salary sacrifice car rental scheme.
#J-18808-Ljbffr…