Compliance Monitoring & Integration Officer

Looking for a compliance role where you can genuinely make an impact?

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Are you curious, persistent in your quest for information and excellent at analysis?

Really good at reporting? A pro at presenting information?

​Want to make your mark within our compliance team and help to embed processes into our business?

If you are an experienced compliance professional with a background in the financial services sector, then we’d like to talk to you.

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Where do you fit in?

By joining us, you can put your technical, product knowledge and compliance experience to use as part of our friendly, growing business. You’ll play a key role working with our Head of Regulatory Compliance and Risk to deliver our annual compliance review, and will undertake the risk based second line monitoring function.

You’ll ensure our processes meet regulatory requirements. Using your excellent communication skills, you’ll clearly convey complex regulatory information, championing a positive, efficient compliance program which always prioritises great outcomes for our clients.

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Day to day you’ll:

• Carry out compliance checks to ensure our business's controls are working effectively, acting as a second line of defence.
• Work closely with the Head of Regulatory Compliance & Risk to help deliver and update the annual compliance monitoring plan, especially when new risks arise.
• Get involved in creating and conducting themed and in-depth reviews, as well as custom investigations if there's a potential breach of company procedures or FCA rules.
• Draft reports for the Head of Regulatory Compliance & Risk to review and approve.

You’ll help us to deliver an outstanding service while ensuring we meet the highest regulatory standards.

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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 a small knowledgeable team in an expanding business
• Professional growth within a positive, customer focused environment. You’ll be part of a team that prioritises excellent client outcomes

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What do you need to succeed?

• QCF Level 4 (e.g., Diploma in Financial Planning) or a commitment to achieving it, with a dedication to ongoing learning
• Experience in a compliance monitoring role, strong project management abilities, and the capability to work under pressure while maintaining effective working relationships
• Strong communication, IT, and report writing skills, along with a solid understanding of financial planning markets, UK regulations, and the financial planning process
• You’ll be up to date with industry developments and regulations, with excellent numerical aptitude, attention to detail, and organisational skill

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We work 35 hours per week, Monday to Friday.

​This is a fully remote role, with occasional travel to other group locations according to the needs of the business.

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Who are Hurst Point Group?

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

​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.

We are committed to equality of opportunity for all, we care passionately about our staff, and are committed to promoting and protecting the physical and mental health of all our employees.