Compliance Monitoring Officer

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 Vere’s 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 team

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

What’s in it for you?

By joining Chase de Vere, you’ll have a progressive career with great benefits and a nurturing culture that makes you part of something special.

• Opportunity to earn an annual bonus
• A day off for your birthday
• Life assurance – 4 x 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
• Two paid volunteering days each year, to support your local community
• 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

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