Compliance Officer - Wealth Management

Hurst Point Group; Exeter; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A financial services firm is seeking a Compliance Officer to ensure effective oversight and actionable insights within a supportive team environment. Candidates should possess compliance experience in investment or wealth management and a strong understanding of the FCA Handbook. The role offers a competitive salary and benefits, with hybrid working options post-training.

Benefits

Private medical insurance

Paid birthday leave

Staff discount platform

Qualifications

• Compliance experience within investment or wealth management is essential.
• Strong working knowledge of the FCA Handbook (COBS, DISP, COLL).
• Ability to interpret regulatory requirements into actionable insights.

Responsibilities

• Testing controls and carrying out in-depth monitoring reviews.
• Collaborating with IT to build exception reports.
• Focusing on key regulatory areas including Best Execution and Market Abuse.
• Supporting Consumer Duty integration across monitoring activities.
• Producing clear reports for senior leaders and governance bodies.

Skills

Compliance experience within investment or wealth management

Strong knowledge of the FCA Handbook (COBS, DISP, COLL)

Ability to interpret regulatory requirements

Clear communication skills

Collaborative approach

Job description

Role can be based in Exeter, Bath, Taunton, Salisbury or London with Hybrid Working Available

Looking for a compliance role where you can genuinely make an impact?

If you're ready to apply your technical, product knowledge and compliance expertise in a role that combines challenge, responsibility and support, then we'd love to hear from you.

Where do you fit in?

Working within our second line of defence team you'll be a key part of delivering effective oversight and actionable insights across a range of regulatory areas.

Working closely with our Head of Compliance and Risk, you'll help shape and execute our annual Compliance Monitoring Plan, conduct thematic and periodic reviews, and provide meaningful reporting that supports great client outcomes.

Your role will involve:

• Testing controls and carrying out in-depth monitoring reviews
• Collaborating with IT to build exception reports
• Focusing on key regulatory areas including Best Execution and Market Abuse
• Supporting Consumer Duty integration across our monitoring activities
• Producing clear, well-structured reports for senior leaders and governance bodies

You'll be part of a supportive, knowledgeable team where your input matters, within a business that values clarity, accountability and collaboration.

If you're naturally curious, analytical, and focused on high standards, this could be the next step in your compliance career.

What's in it for you?

• A competitive salary + benefits including private medical insurance, paid birthday leave, and a staff discount platform
• A busy, varied role within a small knowledgeable team in an expanding business
• Professional growth within a positive, customer focused environment. You'll be part of a team that prioritises excellent client outcomes

What do you need to succeed?

• Compliance experience within investment or wealth management is essential, please
• Strong working knowledge of the FCA Handbook (COBS, DISP, COLL)
• Ability to interpret regulatory requirements and turn them into actionable insights. Clear, concise communication skills and a collaborative approach

You should be based within an easily commutable distance of one of our offices in Exeter, Bath, Taunton, Salisbury or London.

We work 37.5 hours per week, Monday to Friday, with hybrid working available after successful completion of your initial training period. You'll work 2-3 days per week in one of our offices, with the rest from home.

To discover more about a career with us please visit - www.hawksmoorim.co.uk/about-us/join-our-team/

We are committed to equality of opportunity for all, we care passionately about our staff and are committed to promoting and protecting the physical and mental health of all our employees.

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