Chase de Vere
Compliance Monitoring Officer
Get notified of more jobs like this · No spam, ever
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
Compliance Monitoring Officer
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.
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.
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
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.
Get help with your application
Your very own career expert that helps elevate your application to the next level.
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.
- 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.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London