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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Compliance Monitoring Officer in Manchester employer: Chase de Vere
Chase de Vere is an exceptional employer that prioritises the growth and well-being of its employees, particularly in the role of Paraplanner. With a strong emphasis on professional development, including funded exams and a comprehensive training programme, employees are supported in achieving their qualifications while enjoying a collaborative and empathetic work culture. The company also offers attractive benefits such as an annual bonus, additional holiday options, and community volunteering days, making it a rewarding place to build a meaningful career.
