At Chase de Vere, we value excellence, integrity, and personal growth. Joining our team means being part of a supportive environment where your professional development is prioritised, and your contributions are recognised. If youre looking for a place where you can make a real impact and grow your career, consider Chase de Vere. Together, we help clients achieve financial security and peace of mind for the future.
The Compliance Monitoring Officer is responsible for undertaking reviews in line with the risk-based Compliance Monitoring Programme, to ensure due compliance with the regulatory requirements. The role requires the holder to undertake these reviews from end-to-end; undertake research on the underlying regulations to ascertain the scope of the review, undertake thorough testing and data analysis to investigate whether Chase de Vere has sufficient systems and controls in place to mitigate the regulatory risk and compose considered and measured actions to rectify any issues identified.
What your role will involve:
Support the Risk and Assurance Manager in drafting the annual compliance monitoring plan, using a risk based approach.
Undertake Compliance Monitoring reviews from end-to-end, including research on the underlying regulations to determine the scope of the review and thorough investigation and testing to establish whether Chase de Veres systems and controls are effective.
Draft reports setting out key findings and risks, including recommendations for improvements. Ensure these reports are fit for purpose and appropriate for the relevant audience.
Track actions recommended through to completion and regularly report on progress.
Produce Management Information to keep the Risk and Assurance Manager and Head of Risk and Compliance appropriately informed of activities within the L&R teams.
What you will need: Good understanding of regulations applicable to a financial services firm offering financial advice and discretionary management services.
A relevant qualification in financial services regulation or compliance; however, this may not be necessary if knowledge has been obtained through experience.
Industry experience in a relevant role in an FCA authorised financial services firm
Working within a multifaceted team and with a range of stakeholders
Experience of interpreting the requirements of the FCA Handbook
Drafting concise and effective reports
Excellent accuracy skills and attention to detail
Excellent planning and organisational skills
Fully proficient on Microsoft office, in particular Excel
By joining Chase de Vere, youll have a progressive career with great benefits and a nurturing culture that makes you part of something special.
Alongside a competitive salary with the opportunity to earn an annual bonus, we also provide the below benefits:
25 days annual leave (increases to 30 days with service) plus Bank Holidays
Contributory pension scheme
Life assurance 4 x annual salary
Comprehensive induction and training programme
Funded exams and paid study leave
A wide range of voluntary flexible benefits to suit your individual needs
The option to buy additional holiday days
Cycle to work Scheme
Paid volunteering days each year
Employee Assistance Programme with access to a 24/7 helpline
Access to our free mortgage service, through our internal mortgage team
Our Employee Forum and Diversity & Inclusion group
Local and companywide events in support of our company charities
TPBN1_UKTJ