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- Tasks: Lead compliance monitoring reviews and assess investment activities for client outcomes.
- Company: Join Argentis Group, a dynamic independent financial advice firm.
- Benefits: Enjoy competitive salary, private medical insurance, and paid birthday leave.
- Other info: Hybrid working available after training; excellent career growth opportunities.
- Why this job: Make a real impact on client outcomes in a supportive team environment.
- Qualifications: Experience in private client investment management and strong compliance knowledge required.
The predicted salary is between 45000 - 55000 £ per year.
Location: Salisbury, Bath, Exeter, Taunton, London or Waterlooville (hybrid available).
Looking for a compliance role where your investment management expertise is genuinely valued? If you enjoy getting into the detail of investment processes, products and regulation—and want your work to influence real client outcomes, then we’d love to hear from you.
Where do you fit in? As part of our second line of defence, you’ll play a key role in overseeing investment activity across the business. Your understanding of how investment management works in practice will be central to assessing risks, testing controls and ensuring we continue to meet regulatory expectations, and assisting in the operation of the Compliance and Risk function. Working closely with the Head of Compliance and Risk and the wider Compliance Team, you’ll help deliver the Compliance Monitoring Plan, leading reviews that focus on investment processes, governance and client outcomes. You’ll also contribute to ongoing improvements in how we monitor, report and evidence good outcomes, with Consumer Duty embedded throughout. You’ll be part of a team where ideas are welcomed, knowledge is shared, and your input has a clear impact.
In this role, you will:
- Lead monitoring reviews across investment activities, assessing controls, governance and client outcomes with a strong technical lens
- Analyse data and trends to identify risks, support breach management and strengthen oversight across key areas such as Best Execution and market conduct
- Produce clear, practical reporting and work closely with colleagues to embed Consumer Duty and enhance overall compliance frameworks
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?
- A background in private client investment management is essential, with a strong interest in Compliance.
- Compliance monitoring and testing experience within investment or wealth management would be a bonus.
- Strong knowledge of investment management, including products, markets and suitability
- A solid understanding of FCA requirements (including COBS, DISP and COLL), with the ability to apply them in a practical way
You’ll need to be based within an easily commutable distance of one of our offices.
Working hours: We work 35 hours per week, Monday to Friday, with hybrid working available after successful completion of your training period. This is typically 2–3 days per week in one of our offices, with the rest from home.
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 Monitoring Officer - Wealth Management - Hybrid in Salisbury employer: Argentis Financial Planning Limited
Contact Detail:
Argentis Financial Planning Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer - Wealth Management - Hybrid in Salisbury
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management field and let them know you're on the lookout for compliance roles. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA requirements and investment management processes. Be ready to discuss how your expertise can help the company meet regulatory expectations and improve client outcomes.
✨Tip Number 3
Showcase your analytical skills! During interviews, highlight specific examples where you've identified risks or improved compliance frameworks. This will demonstrate your ability to contribute to the Compliance Monitoring Plan effectively.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you're genuinely interested in joining our team and contributing to excellent client outcomes.
We think you need these skills to ace Compliance Monitoring Officer - Wealth Management - Hybrid in Salisbury
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience that are relevant to the Compliance Monitoring Officer role. Highlight your investment management expertise and any compliance monitoring experience you have, as this will show us you understand what we're looking for.
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 background aligns with our needs. Be specific about how your skills can contribute to our team and the positive client outcomes we strive for.
Showcase Your Knowledge of Regulations: Since understanding FCA requirements is key for this role, make sure to mention your familiarity with regulations like COBS, DISP, and COLL. We want to see that you can apply this knowledge practically, so give us examples if you can!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team at Argentis Group!
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 requirements, especially COBS, DISP, and COLL. Being able to discuss how these regulations apply in real-world scenarios will show that you’re not just familiar with the theory but can also implement it practically.
✨Showcase Your Investment Management Expertise
Prepare to talk about your experience in private client investment management. Think of specific examples where you've assessed risks or tested controls, as this will demonstrate your ability to lead monitoring reviews effectively.
✨Be Data Savvy
Since the role involves analysing data and trends, be ready to discuss how you've used data in past roles to identify risks or support breach management. Bring along any relevant reports or analyses you've done to back up your points.
✨Emphasise Team Collaboration
This position values teamwork, so think of examples where you've worked closely with others to achieve compliance goals. Highlight how you’ve contributed to a positive team environment and shared knowledge to improve processes.