At a Glance
- Tasks: Conduct compliance monitoring and control testing to ensure customer fairness and regulatory adherence.
- Company: Dynamic financial services firm focused on integrity and customer outcomes.
- Benefits: Competitive salary, private medical insurance, paid birthday leave, and staff discounts.
- Other info: Hybrid working available after training, with opportunities for professional growth.
- Why this job: Make a real impact by improving controls and ensuring positive customer experiences.
- Qualifications: Experience in compliance within financial services and strong analytical skills 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.
Compliance Control Testing Officer - Waterlooville Hybrid employer: Argentis Financial Planning Limited
Join a dynamic and expanding team as a Compliance Control Testing Officer, where your expertise will directly contribute to maintaining high standards of governance and customer care. With a competitive salary and benefits such as private medical insurance and paid birthday leave, you will thrive in a supportive work culture that prioritises professional growth and collaboration across various locations including Waterlooville. Embrace the opportunity to work closely with senior stakeholders while fostering a strong compliance culture that values integrity and continuous improvement.
Contact Details:
Argentis Financial Planning Limited Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Control Testing Officer - Waterlooville 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 your knowledge of FCA regulations and compliance monitoring. We recommend practising common interview questions and scenarios related to risk management, so you can showcase your expertise confidently.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Check out our website for roles that fit your skills and interests, and tailor your approach to each one!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. Plus, it keeps you fresh in their minds as they make their decision.
We think you need these skills to ace Compliance Control Testing Officer - Waterlooville Hybrid
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance and risk management. We want to see how your skills align with the role, so don’t be shy about showcasing your relevant achievements!
Showcase Your Analytical Skills:Since this role involves a lot of analysis and reporting, include examples of how you've used your analytical skills in previous positions. We love seeing clear, concise reports that led to positive outcomes, so share those stories!
Be Clear and Concise:When writing your application, keep it straightforward and to the point. We appreciate clarity, so avoid jargon and make sure your key points stand out. This will help us quickly see why you’re a great fit for the team!
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’s super easy to do!
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. Be ready to discuss how these regulations impact customer outcomes and compliance monitoring. Showing that you understand the ins and outs of these regulations will impress your interviewers.
✨Show Off Your Analytical Skills
Prepare to demonstrate your analytical and investigative skills during the interview. Think of examples where you've identified risks or improved controls in previous roles. Being able to articulate your thought process and the outcomes of your actions will highlight your capability as a Compliance Control Testing Officer.
✨Be Ready to Collaborate
Since this role involves working closely with stakeholders, be prepared to discuss your experience in collaboration. Share specific instances where you’ve worked with others to enhance compliance culture or resolve issues. This shows you’re not just a lone wolf but a team player who values input from colleagues.
✨Prepare High-Quality Reports
As part of your role, you'll need to produce clear and high-quality reports. Bring examples of reports you've written in the past, and be ready to explain how you ensure clarity and practicality in your recommendations. This will demonstrate your attention to detail and commitment to delivering excellent client outcomes.
