Oxbow Resourcing
Compliance Manager
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Compliance Manager
Financial Services | Wealth & Advisory
Hybrid Working
Office Location: West Midlands
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.
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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
- 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
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Suitable Candidates
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.
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