At a Glance
- Tasks: Conduct compliance monitoring and control testing to ensure customer fairness and regulatory adherence.
- Company: Join Argentis Group Limited, a leading Independent Financial Advice firm.
- Benefits: Enjoy a competitive salary, private medical insurance, and paid birthday leave.
- Other info: Hybrid working available after training; dynamic team culture focused on integrity and improvement.
- Why this job: Make a real impact on customer outcomes while growing your career in compliance.
- Qualifications: Experience in compliance within financial services and strong analytical skills required.
The predicted salary is between 35000 - 45000 £ 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.
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.
Compliance Control Testing Officer - Exeter Hybrid employer: Argentis Group Limited
Argentis Group Limited is an excellent employer that fosters a culture of integrity and accountability, providing employees with the opportunity to engage in meaningful compliance work while contributing to positive customer outcomes. With a competitive salary and benefits such as private medical insurance and paid birthday leave, employees can thrive in a supportive environment that prioritises professional growth and collaboration across various locations including Exeter. Join us to be part of a dynamic team dedicated to delivering exceptional financial advice and ensuring regulatory compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Control Testing Officer - Exeter 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 a lead or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance culture. Be ready to discuss how your experience aligns with their needs, especially around FCA regulations and customer outcomes.
✨Tip Number 3
Showcase your analytical skills! Bring examples of past compliance monitoring or control testing work to the table. Highlight how your recommendations led to positive changes in previous roles.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you're genuinely interested in joining our team.
We think you need these skills to ace Compliance Control Testing Officer - Exeter Hybrid
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experience mentioned in the job description. Highlight your compliance experience, especially in financial services, and any relevant regulatory knowledge you have. We want to see how you fit into our mission!
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 values. Be sure to mention your analytical skills and your commitment to customer care – we love that!
Showcase Your Achievements:When detailing your experience, focus on specific achievements that demonstrate your ability to improve controls and deliver positive outcomes. Numbers and examples speak volumes, so don’t hold back on sharing your successes!
Apply Through Our Website:We encourage you to apply directly through our website for a smoother application process. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity with Argentis Group Limited!
How to prepare for a job interview at Argentis Group Limited
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA regulations, especially COBS, DISP, and COLL. Being able to discuss how these regulations impact customer outcomes will show that you're not just familiar with the rules but understand their practical implications.
✨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. Be ready to explain your thought process and the outcomes of your actions.
✨Practice Your Report-Writing
Since you'll need to produce clear, high-quality reports, it’s a good idea to bring along a sample report or two from your past work. This will give you a chance to showcase your writing skills and attention to detail, which are crucial for this role.
✨Engage with Stakeholders
Be prepared to discuss how you've collaborated with stakeholders in the past. Share specific examples of how you’ve influenced decisions or implemented changes based on your compliance monitoring. This will highlight your ability to work within a team and drive positive outcomes.
