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- Tasks: Lead compliance monitoring reviews and assess investment processes for client outcomes.
- Company: Dynamic wealth management firm with a focus on compliance and client satisfaction.
- Benefits: Competitive salary, private medical insurance, paid birthday leave, and staff discounts.
- Other info: Hybrid working available after training, with a supportive team culture.
- Why this job: Make a real impact in investment management while growing your compliance expertise.
- Qualifications: Experience in private client investment management and strong knowledge of FCA requirements.
The predicted salary is between 45000 - 55000 £ per year.
This role can be based in Waterlooville, Bath, Exeter, Taunton, Salisbury, or London with hybrid working 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 in Waterlooville, Bath, Exeter, Taunton, London or Salisbury.
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.
Compliance Monitoring Officer - Wealth Management - Hybrid in Waterlooville 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 Waterlooville
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management world and let them know you're on the lookout for a Compliance Monitoring Officer role. 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 those interviews by brushing up on your knowledge of FCA requirements and investment products. We want you to be able to showcase your expertise and how it aligns with the role. Practice common interview questions and think about how your experience can contribute to the team.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Mention something specific from your conversation to show you were engaged and are genuinely interested in the position.
✨Tip Number 4
Apply through our website for the best chance at landing that dream job! We love seeing applications come directly from candidates who are excited about joining our team. Plus, it shows you’re proactive and really want to be part of what we’re building.
We think you need these skills to ace Compliance Monitoring Officer - Wealth Management - Hybrid in Waterlooville
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your investment management expertise and compliance experience. We want to see how your background aligns with the role, so don’t be shy about showcasing relevant skills and achievements!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance in wealth management and how you can contribute to our team. Keep it engaging and personal—let us know what makes you tick!
Showcase Your Knowledge of Regulations: Since this role involves understanding FCA requirements, make sure to mention your familiarity with regulations like COBS, DISP, and COLL. We love candidates who can apply these in practical scenarios, so give us examples if you can!
Apply Through Our Website: We encourage you to submit your application through our website. It’s the best way for us to receive your details directly and ensures you’re considered for the role. Plus, it’s super easy—just follow the prompts!
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 like COBS, DISP, and COLL. Be ready to discuss how these regulations apply in real-world scenarios, especially in investment management. This shows you’re not just familiar with the theory but can also apply it practically.
✨Showcase Your Analytical Skills
Prepare to talk about your experience with data analysis and risk identification. Think of specific examples where you've assessed controls or identified trends that led to improved compliance outcomes. This will demonstrate your ability to lead monitoring reviews effectively.
✨Emphasise Team Collaboration
Since this role involves working closely with the Head of Compliance and the wider team, be ready to share examples of how you’ve successfully collaborated in previous roles. Highlight your ability to share ideas and contribute to a positive team environment, as this is key to their culture.
✨Prepare Questions About Client Outcomes
Think of insightful questions regarding how the company measures client outcomes and embeds Consumer Duty into their processes. This shows your genuine interest in the role and aligns with their focus on excellent client outcomes, making you stand out as a candidate.