At a Glance
- Tasks: Conduct compliance reviews and ensure regulatory requirements are met.
- Company: Join Chase de Vere, a leading independent financial advice firm.
- Benefits: Enjoy 25 days annual leave, pension scheme, and paid study leave.
- Other info: Be part of a diverse team with excellent career progression opportunities.
- Why this job: Make a real impact in a supportive environment focused on your growth.
- Qualifications: 5 years in compliance with knowledge of financial regulations required.
The predicted salary is between 36000 - 60000 £ per year.
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 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.
Compliance Monitoring Programme
- Assist the Risk and Assurance Manager in the formation of the risk-based compliance monitoring programme.
- Assist the Head of Risk and Compliance and Risk and Assurance Manager with ad hoc review and assessments, to meet the needs of the business.
- Undertake risk-based monitoring reviews in accordance with the annual monitoring plan, including:
- Devising the scope of a monitoring review through thorough analysis of the underlying regulations and guidance relevant to the risk being assessed.
- Planning, and latterly undertaking, testing and data analysis to investigate the systems and controls implemented to mitigate the risk being assessed.
- Delivering clear, accurate and relevant reports to stakeholders which communicate the findings of the review and the actions to be taken.
- Work with stakeholders to follow through with actions until evidence is provided of their due completion.
Appointed Representative
- Undertake monitoring on the Appointed Representative, both on a regular basis and in thematic review work.
- Collate information provided by the Appointed Representative and report areas of improvement to the Risk and Assurance Manager.
- Maintain an action tracker for issues identified and work with the AR through to completion of actions and resolution of underlying issues.
What you will need
- Ideally Investment Compliance Diploma (minimum Investment Operations Certificate) or requisite knowledge and experience in the Financial Services Industry.
- Good understanding of retail investment products, FCA regulated financial services firms and Discretionary Fund Management.
- A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business.
- Ability to extract and identify issues of potential risk.
- A minimum of 5 years’ experience in a compliance role with a first-class knowledge of monitoring, risk management and current regulatory issues as they impact on an FCA authorised firm.
- Experience of risk-based monitoring systems and audit procedures.
- Experience of delivering operational change and improving regulatory and business standards.
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
Compliance Monitoring Officer in Manchester employer: Swiss Life
Chase de Vere, part of Swiss Life, is an excellent employer that prioritises employee growth and development within a supportive work culture. Located in a dynamic environment, we offer competitive benefits and a collaborative atmosphere where you can take ownership of your role, ensuring meaningful contributions to our clients and the team.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Officer in Manchester
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Swiss Life looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Monitoring Officer in Manchester
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Swiss Life. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Swiss Life
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Swiss Life’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
