Compliance Monitoring Officer - Wealth Management
Join to apply for the Compliance Monitoring Officer - Wealth Management role at Hurst Point Group
Compliance Monitoring Officer - Wealth Management
1 week ago Be among the first 25 applicants
Join to apply for the Compliance Monitoring Officer - Wealth Management role at Hurst Point Group
This 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 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 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. 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.
No Agencies Please
LNKD1_UKTJ
Seniority level
* Seniority level
Entry level
Employment type
* Employment type
Full-time
Job function
* Job function
Finance
Referrals increase your chances of interviewing at Hurst Point Group by 2x
Get notified about new Monitoring Officer jobs in Bath, England, United Kingdom.
MGS - Ministry of Defence Guard Service - Project Support Officer
Mangotsfield, England, United Kingdom 16 hours ago
The Students' Union at UWE Opportunities
Bristol, England, United Kingdom 10 months ago
Navy Command - Programme Support Officer
Stoke Gifford, England, United Kingdom 5 days ago
City Of Bristol, England, United Kingdom 21 hours ago
Bristol, England, United Kingdom 4 days ago
Bath, England, United Kingdom 15 hours ago
Bristol, England, United Kingdom 3 months ago
Campus Service Community Projects Officer
Bath, England, United Kingdom 2 weeks ago
Bail Information Service: Bail Information Officer (BIO) - HMP Bristol (Ref: 8025)
Bristol, England, United Kingdom 1 week ago
Bristol, England, United Kingdom 1 week ago
City Of Bristol, England, United Kingdom 2 weeks ago
Heywood, England, United Kingdom 1 week ago
Mobile Operations Manager - Bristol Pway Infrastructure
Bristol, England, United Kingdom 1 week ago
Band 3 Clinical Services Administrator - Devizes
Devizes, England, United Kingdom 17 hours ago
Respiratory Medicine Administrator/Booking Clerk
Bristol, England, United Kingdom 6 hours ago
Bristol, England, United Kingdom 18 hours ago
Bristol, England, United Kingdom 6 hours ago
Bristol, England, United Kingdom 2 weeks ago
Bradley Stoke, England, United Kingdom 5 days ago
Bristol, England, United Kingdom 1 week ago
Chipping Sodbury, England, United Kingdom 3 weeks ago
Administrator - Inclusion and SEND Advice Service
Keynsham, England, United Kingdom 6 days ago
Paulton, England, United Kingdom 1 week ago
Bristol, England, United Kingdom 2 weeks ago
Bristol, England, United Kingdom 12 hours ago
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr