At a Glance
- Tasks: Conduct compliance monitoring and control testing to ensure customer fairness and regulatory adherence.
- Company: Join Argentis Group Limited, a leading Independent Financial Advice firm.
- Benefits: Enjoy competitive salary, private medical insurance, paid birthday leave, and staff discounts.
- Other info: Flexible hybrid working after training, with opportunities for professional growth.
- Why this job: Make a real impact on customer outcomes while growing your compliance expertise.
- Qualifications: Experience in compliance within financial services and strong knowledge of FCA regulations required.
The predicted salary is between 40000 - 50000 £ per year.
This six-month fixed term contract can be based in Bath, Exeter, Taunton, Salisbury, London, or Waterlooville with hybrid working available. Are you an experienced compliance professional who enjoys identifying risks, improving controls, and helping deliver positive outcomes for customers? If you are naturally curious, highly organised and committed to maintaining high standards of governance, risk management, and customer care, we’d love to hear from you.
Where do you fit in? You’ll play a key role in assessing the effectiveness of business controls, supporting regulatory compliance, and helping ensure customers are treated fairly. Working within the second line of defence, you will deliver desk-based compliance monitoring and control testing activities across the business. You will conduct reviews, analyse customer outcomes, identify areas for improvement and work closely with stakeholders to ensure actions are implemented effectively.
Day to day, you’ll:
- Deliver compliance monitoring and control testing reviews, assess the effectiveness of controls, and produce clear, high-quality reports with practical recommendations.
- Monitor trends, identify potential risks, breaches, and customer harm, and support the tracking and resolution of actions arising from monitoring activity.
- Collaborate with colleagues across the business to support a strong compliance culture, contribute to regulatory reporting and help shape future monitoring priorities.
You will have the opportunity to work with senior stakeholders across the business while contributing to a culture of integrity, accountability, and continuous improvement.
What’s 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 an expanding business.
- Professional growth within a positive, customer focused environment. You’ll be part of a team that prioritises excellent client outcomes.
What do you need to succeed?
- Strong experience in a compliance role within financial services, including compliance monitoring, quality assurance, or oversight activities.
- Good knowledge of FCA regulations, including COBS, DISP and COLL, with a strong understanding of Consumer Duty and customer outcomes.
- Excellent analytical, investigative, and report-writing skills, with the confidence to challenge constructively, influence stakeholders and work independently.
You’ll need to be based within an easily commutable distance of one of our offices in Bath, Exeter, Taunton, London, Waterlooville, or Salisbury. We work 35 hours per week, Monday to Friday, with hybrid working available after successful completion of your training period.
This position is with Argentis Group Limited - an Independent Financial Advice firm, authorised by the Financial Conduct Authority, working within the Investment Management division of our group - Hawksmoor Investment Management and Gore Browne Investment Management.
Compliance Control Testing Officer - Exeter Hybrid employer: Argentis Financial Planning Limited
Argentis Group Limited is an excellent employer that prioritises employee well-being and professional growth within a dynamic and supportive environment. With a competitive salary and benefits such as private medical insurance and paid birthday leave, employees enjoy a healthy work-life balance while contributing to a culture of integrity and accountability. The hybrid working model allows for flexibility, making it an ideal workplace for compliance professionals looking to make a meaningful impact in the financial services sector.
Contact Details:
Argentis Financial Planning Limited Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Control Testing Officer - Exeter Hybrid
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance monitoring techniques. We recommend practising common interview questions with a friend or even in front of the mirror to boost your confidence.
✨Tip Number 3
Showcase your analytical skills! During interviews, be ready to discuss specific examples of how you've identified risks and improved controls in previous roles. This will demonstrate your value to potential employers.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Control Testing Officer - Exeter Hybrid
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Control Testing Officer role. Highlight your experience in compliance, especially within financial services, and showcase your analytical skills. We want to see how you can contribute to our team!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills align with our needs. Be sure to mention your understanding of FCA regulations and your commitment to customer outcomes.
Showcase Your Achievements:When detailing your past roles, focus on specific achievements that demonstrate your ability to identify risks and improve controls. We love seeing concrete examples of how you've made a positive impact in previous positions!
Apply Through Our Website:We encourage you to apply directly through our website for the best chance of success. It’s the easiest way for us to receive your application and ensures you’re considered for this exciting opportunity!
How to prepare for a job interview at Argentis Financial Planning Limited
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA regulations, especially COBS, DISP, and COLL. Being able to discuss these confidently will show that you're not just familiar with compliance but that you truly understand how it impacts customer outcomes.
✨Show Off Your Analytical Skills
Prepare to demonstrate your analytical and investigative skills during the interview. Think of specific examples where you've identified risks or improved controls in previous roles. This will help you illustrate your ability to assess business controls effectively.
✨Be Ready to Collaborate
Since this role involves working closely with stakeholders, be prepared to discuss how you've successfully collaborated in the past. Share examples of how you’ve influenced others and contributed to a strong compliance culture within your team or organisation.
✨Prepare High-Quality Reports
As you'll need to produce clear, high-quality reports, think about how you can showcase your report-writing skills. Bring along samples of your work if possible, or be ready to talk through your process for creating effective recommendations based on compliance monitoring.
