Compliance Monitoring Officer

4 days ago

Exeter, United Kingdom Argentis Financial Planning Limited Full time

Compliance Monitoring Officer – Wealth Management Join to apply for the Compliance Monitoring Officer – Wealth Management role at Argentis. This role can be based in Exeter, Bath, Taunton or Salisbury, with hybrid working available. Looking for a compliance role where you can make a real impact? If you’re ready to apply your technical, product and regulatory knowledge in a role that combines challenge, responsibility and support, we’d love to hear from you. Where do you fit in? Working within our second line of defence team, you’ll play a key role in delivering high‑quality oversight and actionable insights across a range of regulatory areas. Working closely with our Head of Compliance and Risk, you’ll help shape and deliver the annual Compliance Monitoring Plan, conduct thematic and periodic reviews, and produce meaningful reporting that supports positive client outcomes. You’ll support action tracking, breach management, monitoring of customer outcomes and the ongoing maintenance of compliance frameworks and systems. Consumer Duty is central to our oversight approach, and you’ll help ensure we continue to evidence good client outcomes across products, services and interactions. Your role will involve Testing controls and delivering in‑depth monitoring reviews Collaborating with IT to build and refine exception reports Focusing on key regulatory areas such as Best Execution and Market Abuse Supporting the integration of Consumer Duty across our monitoring activities Producing clear, well‑structured reports for senior leaders and governance bodies What’s in it for you? A competitive salary and 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? Compliance monitoring and testing experience within investment or wealth management is essential Strong working knowledge of the FCA Handbook (COBS, DISP, COLL) Ability to interpret regulatory requirements and turn them into actionable insights. Clear, concise communication skills and a collaborative approach You’ll need to be based within an easily commutable distance of one of our offices in Exeter, Bath, Taunton 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 23 days per week in one of our offices, with the rest from home. About Argentis Group Limited Argentis Group Limited is an independent financial advice firm authorised by the Financial Conduct Authority. 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. Our mission is to give our clients confidence in their finances. We are looking for talented people to join our teams, help us achieve our common goals and build for the future. #J-18808-Ljbffr

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