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- Tasks: Lead compliance monitoring reviews and assess investment processes for client outcomes.
- Company: Join Argentis Group Limited, a forward-thinking financial advice firm.
- Benefits: Enjoy competitive salary, private medical insurance, and paid birthday leave.
- Other info: Hybrid working available after training, with a supportive team culture.
- Why this job: Make a real impact on client finances while growing your career in compliance.
- Qualifications: Experience in investment management and a keen interest in compliance is essential.
The predicted salary is between 40000 - 50000 £ per year.
This role can be based in Salisbury, Bath, Exeter, Taunton, 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.
Compliance Monitoring Officer - Wealth Management - Hybrid in Salisbury employer: Argentis Group Limited
Contact Detail:
Argentis Group Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer - Wealth Management - Hybrid in Salisbury
✨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 hunt 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 interviews by brushing up on your knowledge of FCA requirements and investment management processes. We want you to be able to discuss how you can contribute to compliance monitoring with confidence, so practice articulating your thoughts clearly.
✨Tip Number 3
Showcase your analytical skills! Be ready to discuss how you've used data to identify risks or improve compliance frameworks in past roles. This will demonstrate your ability to lead monitoring reviews effectively and make a real impact.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you're genuinely interested in joining our team at Argentis Group Limited and contributing to our mission of giving clients confidence in their finances.
We think you need these skills to ace Compliance Monitoring Officer - Wealth Management - Hybrid in Salisbury
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 – we love to see your personality come through.
Showcase Your Knowledge: In your application, demonstrate your understanding of FCA requirements and how they apply in practice. We’re looking for someone who can hit the ground running, so any specific examples of your experience with regulations will definitely catch our eye!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets to us quickly and efficiently. Plus, you’ll find all the details you need about the role and our company there!
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 requirements, especially COBS, DISP, and COLL. Being able to discuss how these regulations apply in real-world scenarios will show that you’re not just familiar with the theory but can also implement it practically.
✨Showcase Your Investment Management Expertise
Prepare to talk about your experience in private client investment management. Think of specific examples where you've assessed risks or tested controls, as this will demonstrate your ability to lead monitoring reviews effectively.
✨Data Analysis is Key
Since the role involves analysing data and trends, be ready to discuss any relevant experience you have in this area. Bring examples of how you've identified risks or supported breach management through data analysis to highlight your analytical skills.
✨Emphasise Team Collaboration
This position requires working closely with the Compliance Team and other colleagues. Be prepared to share examples of how you’ve successfully collaborated in the past, particularly in delivering compliance plans or enhancing frameworks, to show you’re a team player.