Oxbow Resourcing
Regulatory Consultant
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Regulatory Consultant
Location: Egham, Surrey, with UK travel
Working pattern: Hybrid – 3 days in the office
Employment type: Permanent, full-time
Salary: Up to £80,000, depending on experience
About the Role
Oxbow Resourcing is exclusively recruiting an experienced Regulatory Consultant for our client who is a specialist Financial Services consultancy supporting FCA solo-regulated firms.
This is a broad, client-facing position combining regulatory assurance, detailed file review, advisory work and practical problem-solving. You will work with clients across wealth and financial advice, insurance, mortgages, consumer lending and payments.
The successful candidate will be able to identify regulatory weaknesses, understand their wider implications and recommend proportionate, commercially practical solutions.
There is significant scope for significant career progression for the right person.
Key Responsibilities
- Review client files, regulatory frameworks, controls and customer outcomes
- Deliver regulatory audits, gap analyses and assurance reviews
- Support Consumer Duty implementation, monitoring and assurance
- Review Conduct Risk frameworks, governance arrangements and organisational culture
- Undertake SM&CR and Conduct Rules effectiveness reviews
- Lead thematic remediation and post-implementation reviews
- Interpret FCA publications, Handbook requirements and regulatory developments
- Assess how regulatory expectations apply across different business models
- Produce clear reports, board papers, findings and remediation plans
- Present findings and facilitate workshops with boards and senior stakeholders
- Manage multiple client assignments and deliver work to agreed deadlines
- Manage, coach and review the work of internal and external consultants
- Build trusted client relationships and identify follow-on opportunities
- Contribute to proposals and wider business-development activity
- Maintain a minimum client chargeability level of 60%
- Contribute to the organisation’s ISO 9001, ISO 27001 and ISO 42001 frameworks
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Experience and Qualifications
Essential:
- A relevant QCF Level 4 qualification or higher and/or a recognised specialist compliance qualification
- At least five years’ experience within UK financial services regulation
- Broad knowledge of the FCA Handbook and relevant Conduct of Business requirements
- Strong knowledge of Consumer Duty, SM&CR, Conduct Rules, complaints, vulnerable customers and product governance
- Experience gained within regulatory consulting, compliance, risk, internal audit or assurance
- Experience undertaking detailed file reviews, audits or regulatory assurance work
- Strong written reporting, facilitation and presentation skills
- The credibility to work with boards, executive teams, Heads of Compliance and Heads of Risk
- The ability to manage several client workstreams and deliver under pressure
- Strong analytical skills and attention to detail
- A collaborative approach to managing, coaching and reviewing others
- Commercial awareness and the confidence to identify further client opportunities
- Willingness to travel within the UK when required
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The Package
- Salary up to £80,000, depending on experience
- 33 days’ holiday, including bank holidays
- Up to two remote-working days per week, subject to requirements and probation sign-off
- 3% employer pension contribution, increasing to 5% after two years
- Parking space
- Life insurance
- Illness and injury insurance
Interested? Apply below or message me for a confidential conversation.
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