Compliance Monitoring Officer

Chase de Vere is a national, award-winning independent financial advice firm established in 1969. We offer tailored, whole-of-market solutions and provide expert financial advice to individuals and businesses.

Our purpose is to help clients "be future confident," which also means empowering our employees with the tools, support, and opportunities to thrive in their careers.

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 you’re 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 compliance with regulatory requirements and support Chase de Vere in identifying, assessing and managing regulatory risks. The role requires the holder to undertake reviews from end-to-end, including regulatory research, defining review scope, conducting testing and investigations, analysing data, producing reports and tracking actions through to completion.

Compliance Monitoring Programme

• •Assist the Risk and Assurance Manager in the development and maintenance of the annual risk-based Compliance Monitoring Plan.
• •Support the Head of Risk and Compliance and Risk and Assurance Manager with ad hoc reviews, assessments and monitoring activities as required.
• •Undertake risk-based compliance monitoring reviews in accordance with the agreed monitoring plan, including:
• •Researching relevant regulations and guidance to determine the scope of monitoring reviews.
• •Planning and carrying out testing, investigations and data analysis to assess the effectiveness of systems and controls.
• •Identifying areas of non-compliance, potential risks and opportunities for improvement.
• •Producing clear, concise and audience-appropriate reports detailing findings, risks and recommended actions.
• •Working with stakeholders across the business to ensure completion of agreed actions and improvements.

• •Undertake deep dive thematic reviews into specific regulatory or business requirements and provide recommendations where appropriate.
• •Conduct regular monitoring activities on areas of foreseeable risk and provide summary reports of outcomes and actions.
• •Produce management information and reporting to keep the Risk and Assurance Manager and Head of Risk and Compliance informed of ongoing monitoring activities and outcomes.

Appointed Representative

• •Undertake monitoring of the Appointed Representative on both a regular and thematic basis.
• •Assess and monitor adherence to regulatory and business requirements.
• •Contribute to annual reporting on the effectiveness of Chase de Vere's oversight arrangements.
• •Maintain action trackers for issues identified through monitoring activities.
• •Follow up actions through to completion and resolution of underlying issues.

What You Will Need

• •Good understanding of regulations applicable to an FCA-authorised financial services firm providing financial advice and discretionary management services.
• •Relevant financial services regulation or compliance qualification desirable, although equivalent knowledge gained through experience will also be considered.
• •Industry experience within a relevant role in an FCA-authorised firm.
• •Experience interpreting FCA Handbook requirements and applying them in practice.
• •Experience drafting concise and effective reports and communicating findings to stakeholders.
• •Strong analytical skills with the ability to identify areas of potential risk and assess control effectiveness.
• •Excellent accuracy, attention to detail and organisational skills.
• •Strong written and verbal communication skills.
• •Proficient in Microsoft Office, particularly Excel.
• •Ability to work independently, prioritise workload and build effective relationships with stakeholders at all levels.

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.

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