Compliance Operations Assistant

3 days ago

Exeter, Devon, United Kingdom Argentis Group Limited Full time £25,000 - £40,000 per year


Looking for a role where you can use your admin and organisational skills to develop your career?

Do you enjoy working collaboratively, solving problems, and making a positive difference to both your company and your clients?

Working with a small, friendly, team with lots to learn - this is a great opportunity to build your career in compliance.

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Where do you fit in?

​You'll join a growing group, assisting our Investment Management compliance team by providing a high level of admin support. With a variety of work, you could be talking to a client, writing letters, or crunching numbers on Excel. Using your IT skills and attention to detail, you'll assist with the production of reports and Management Information, in addition to keeping our compliance records up to date. You'll also have the chance to and assist senior team members on projects.

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Day to day, you'll be involved with:

  • Compliance & Regulatory Support – You'll maintain compliance registers, assist with regulatory submissions, reports, and governance documents
  • Monitoring & Risk Management – You'll carry out compliance validation checks, spot tests, and incident monitoring; liaise with business owners on actions
  • Team & Business Support – Respond to queries, manage the compliance inbox and systems, support committee meetings,

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What's in it for you?

  • A competitive salary and great benefits, including private medical care, paid birthday leave and staff discounts
  • The chance to gain experience & qualifications within a friendly, expanding business
  • A varied and busy role ​with lots of opportunities to learn

​

What do you need to succeed?

  • Positive with an enquiring mind. Strong numeracy, literacy, and IT skills. Experience within the investment management / financial services industry or with complaint handling would be helpful- although we're happy to provide training
  • Strong communicator and relationship builder – With excellent written and verbal skills, you'll be able to engage with colleagues at all levels. Professional, and skilled at influencing, advising, and supporting others
  • Driven and ethical – You'll be consumer-focused with a high level of integrity and attention to detail. Results-oriented, collaborative, and able to work independently to deliver positive outcomes in fast-moving environments

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We work Monday to Friday from 9am to 5pm.

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You'll be based at Hawksmoor Investment Management's central Exeter office, with hybrid working available on successful completion of your training period.

This role could also be based from our offices in Taunton, Bath or Salisbury if these locations are preferable.

​

Who are Argentis Group Limited? 

This position is with Argentis Group Limited- an Independent Financial Advice firm, authorised by the Financial Conduct Authority.

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.

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