Compliance Manager - Wealth Management

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

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Are you a seasoned compliance and risk professional with a strong grasp of regulatory frameworks and an eye for detail?

If you thrive in a collaborative environment where high standards matter, this opportunity could be a great career move for you.

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Where do you fit in?

You’ll play a central role in shaping and maintaining our regulatory standards. Working closely with the Head of Compliance and Risk, you’ll provide expert guidance, lead key elements of our compliance programme, and support

both the business and your team in navigating a complex regulatory landscape.

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In this senior role, you’ll:

• Lead and develop a small compliance team, offering mentoring and guidance
• Oversee risk assessments and maintain our Enterprise Risk Management framework
• Provide regulatory advice across the business, helping to ensure effective implementation of policies aligned with Consumer Duty
• Represent the function in committees and act as deputy to the HOCR where required
• Deliver management information to leadership, informing governance and strategy
• Support and oversee responses to regulatory change, complaints handling, and continuous monitoring

You’ll be trusted to contribute strategically while staying close to day-to-day operational needs. You’ll work with stakeholders from across the business and play a key role in delivering excellent outcomes for our clients.

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What’s in it for you?

• A competitive salary, plus benefits including Private Medical Insurance and opportunities to volunteer for charity
• The chance to make an impact in a growing company that is small enough for you to make a difference
• Challenging and interesting work where you can showcase your skills, and implement your ideas

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What do you need to succeed?

• Substantial experience in compliance, risk, and governance within regulated financial services
• Strong knowledge of FCA rules including COBS, DISP and COLL, with clear, confident communication and leadership skills
• A proactive, analytical approach and a commitment to fair client outcomes

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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.

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

​No Agencies Please