Job Description

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

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

If youre ready to apply your technical, product knowledge and compliance expertise in a role that combines challenge, responsibility and support, then wed 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, youll 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
Youll be part of a supportive, knowledgeable team where your input matters, within a business that values clarity, accountability and collaboration.


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

Whats 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. Youll be part of a team that prioritises excellent client outcomes

What do you need to succeed?

Compliance monitoring and testing 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 our office in London, or E

xeter, Bath, Taunton, or Salisbury.

We work 37.5 hours per week, Monday to Friday, with hybrid working available after successful completion of your initial training period. Youll work 23 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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