Risk and Regulatory Compliance Expert
1 week ago
We are seeking a seasoned compliance and risk professional to oversee and enhance our Enterprise Risk Management framework, ensuring robust regulatory compliance.
The successful candidate will provide comprehensive regulatory advice across the business, safeguarding our commitment to integrity and excellence.
Key Responsibilities:- Manage the Enterprise Risk Management framework, overseeing risk assessments and advising on effective systems to support optimal client outcomes and regulatory compliance.
- Coordinate and provide guidance on risk and control self-assessments within Compliance, ensuring aligned, compliant operations across departments.
- Offer strategic regulatory advice to mitigate risks associated with Financial regulation including financial crime and ensure compliance with Consumer Duty obligations, emphasizing policies that prioritize consumer protection.
- Oversee as well as acting as a regulatory advisor on emerging frameworks, assessing and communicating the impact of regulatory updates, and guiding implementation to align with business objectives.
- Deliver regular management information to Compliance leadership and support internal committees, contributing to well-informed governance and decision-making.
Hawksmoor Investment Management specialises in managing private client, trust and charity portfolios, as well as three multi-asset funds-of-funds and a series of risk-based 'Model Portfolios' for Financial Advisers.
We are an award-winning, growing, specialist investment and fund management business, part of Hurst Point Group which comprises a number of different businesses with one mission at our core: giving our clients confidence in their finances.
What We Offer:- A competitive salary (£80,000 - £120,000 per annum) plus benefits including Private Medical Insurance and opportunities to volunteer for charity.
- Extensive experience in risk, compliance, and governance within regulated wealth management or retail financial services, with strong knowledge of industry best practices.
- Skilled at interpreting complex regulations, providing clear, actionable guidance, and building collaborative relationships across all levels.
- Proactive, detail-oriented, and committed to ensuring positive consumer outcomes through effective risk management.
Based in London or Exeter with hybrid working available. Travel to other group locations will be required according to the needs of the business.
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