Experience: Good knowledge of the FCA Handbook, including COBS, DISP and COLL. Extensive relevant experience of working within a Compliance role in a financial services organisation.
This role can be based in , or Salisbury, Taunton, Exeter, or Bath, 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, then 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
You’ll join a supportive, knowledgeable team where your input matters, within a business that values clarity, accountability, and collaboration. If you’re curious, analytical, and committed to high standards, this could be the ideal next step in your compliance career.
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?
- Compliance monitoring and testing experience within investment or wealth management is essential, please
- 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 Salisbury, Taunton, Exeter, or Bath.
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.
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.
Apply now
