Risk and Compliance Expert

4 days ago


Exeter, Devon, United Kingdom Hawksmoor Investment Management Full time

Hawksmoor Investment Management, a specialist investment and fund management business, is seeking a seasoned compliance and risk professional to join our team.

We are an award-winning, growing company with a mission to give our clients confidence in their finances. As a key member of our team, you will oversee and enhance our Enterprise Risk Management framework, ensuring robust regulatory compliance and contributing to the highest standards for our clients.

As Risk and Compliance Expert, your primary responsibilities will include:

  • Enterprise Risk Management Framework: Manage the framework, overseeing risk assessments, and advising on effective systems to support optimal client outcomes and regulatory compliance.
  • Risk and Control Self-Assessments: Coordinate and provide guidance within Compliance, ensuring aligned, compliant operations across departments.
  • Regulatory Advice: Offer strategic advice to mitigate risks associated with Financial regulation, including financial crime, and ensure compliance with Consumer Duty obligations, emphasizing policies that prioritize consumer protection.
  • Emerging Frameworks: Oversee and act as a regulatory advisor on emerging frameworks, assessing and communicating the impact of regulatory updates, and guiding implementation to align with business objectives.
  • Management Information: Deliver regular information to Compliance leadership and support internal committees, contributing to well-informed governance and decision-making.

In this role, you will be based in London or Exeter with hybrid working available. Travel to other group locations may be required according to the needs of the business.

A competitive salary, plus benefits including Private Medical Insurance and opportunities to volunteer for charity, make this an attractive opportunity. The estimated annual salary range for this position is £85,000 - £110,000, depending on experience.

To succeed in this role, you will require:

  • Extensive experience in risk, compliance, and governance within regulated wealth management or retail financial services, with strong knowledge of industry best practices.
  • Interpretation and application of complex regulations, providing clear, actionable guidance, and building collaborative relationships across all levels.
  • Proactive approach to risk management, with a commitment to ensuring positive consumer outcomes.

This is a fantastic opportunity for a skilled Risk and Compliance Expert to join Hawksmoor Investment Management's team and contribute to our mission to give clients confidence in their finances.



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