Compliance Monitoring Officer - Wealth Management - Hybrid in Bath

This role can be based in Bath, Exeter, Taunton, Salisbury, London or Waterlooville 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 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.

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.