Compliance Monitoring Officer

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.

• 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 teams.

• 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

• Opportunity to earn an annual bonus
• 25 days holiday, plus bank holidays
• 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 company wide events in support of our company charities