Compliance Control Testing Officer - Bath Hybrid

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. We have one mission at our core: giving our clients confidence in their finances. We offer a broad range of wealth management and financial planning services to our clients, ranging from large scale investors and companies to individuals and small businesses. We are looking for talented people to join our teams, to help us achieve our common goals and build for the future.