Compliance Monitoring Officer

Chase de Vere; Manchester; Sur place; GBP 40 000 - 60 000; Plein temps

Avantages offerts par ce poste

Annual bonus

Birthday day off

Life assurance 4x salary

Induction and training programme

Exam sponsorship & paid study leave

Flexible benefits package

Holiday buy/sell scheme

Cycle to work scheme

Volunteer days

Employee Assistance Programme

Mortgage service access

Employee Forum & Diversity & Inclusion

Charity events & community involvement

Résumé du poste

Chase de Vere is seeking a Compliance Monitoring professional to support the Risk and Assurance Manager. You will help draft the annual monitoring plan, conduct end-to-end reviews, and produce clear reports with findings and improvement recommendations.

You will track actions to completion, provide regular progress updates, and generate management information for the Risk and Assurance team. A collaborative, detail-oriented approach is essential.

Qualifications

• Good understanding of regulations applicable to a financial services firm
• Possession of a qualification in financial services regulation or compliance, or equivalent experience
• Experience in an FCA authorised financial services firm would be advantageous
• Ability to interpret FCA Handbook requirements
• Strong report drafting and attention to detail

Responsabilités

• Draft the annual compliance monitoring plan using a risk-based approach
• Undertake end-to-end Compliance Monitoring reviews with regulatory research
• Draft reports with key findings and recommendations
• Track actions through to completion and report progress
• Produce management information for the Risk & Assurance Manager and Head of Risk & Compliance

Connaissances

Regulatory knowledge

Compliance monitoring

Report writing

Stakeholder management

Planning & organisation

Formation

Financial services regulation qualification

Outils

Excel

Description du poste

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