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 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