Compliance Monitoring Officer Jobs

Chase de Vere

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Category:
Finance

Contract Type:
Not provided

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Job Description:

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.

Job Responsibility:

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

Requirements:

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
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 we offer:

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 companywide events in support of our company charities

Additional Information:

Job Posted:
December 07, 2025

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Compliance Monitoring Officer