Compliance Monitoring Officer
7 days ago
Join to apply for the Compliance Monitoring Officer role at Chase de Vere 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; research on the underlying regulations to ascertain the scope of the review, thorough testing and data analysis to investigate whether Chase de Vere has sufficient systems and controls in place to mitigate 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 teams. 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. Benefits 25 days annual leave (increases to 30 days with service) plus Bank Holidays. Contributory pension scheme. Life assurance 4x 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 company‑wide events in support of our company charities. Seniority level Entry level Employment type Full‑time Job function Finance #J-18808-Ljbffr
-
Compliance Monitoring Officer
5 days ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Full timeAt 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 youre looking for a place where you can make a real impact and grow your career, consider Chase de Vere. Together, we help clients...
-
Compliance Monitoring Officer
5 days ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Full timeOverviewAt 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...
-
Strategic Compliance Monitoring Specialist
5 days ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Full timeA financial services firm in Salford seeks a Compliance Monitoring Officer to lead compliance reviews and ensure regulatory adherence. In this role, you will support drafting compliance plans and conduct thorough reviews of systems and controls to mitigate risks. The ideal candidate should have a strong understanding of regulatory requirements and analytical...
-
Salford, United Kingdom Chase de Vere Full timeA financial services company in Salford is seeking a Compliance Monitoring Officer to ensure regulatory compliance through comprehensive reviews. The successful candidate will support the Risk and Assurance Manager and draft reports with actionable recommendations. Ideal applicants should possess a good understanding of financial services regulations,...
-
Compliance Officer
5 days ago
Salford, United Kingdom HM Revenue and Customs Full time**Details**: **Reference number**: - 324267**Salary**: - £35,092 - £37,725**Job grade**: - Higher Executive Officer**Contract type**: - Permanent**Business area**: - HMRC - CS&TD - Indirect Tax**Type of role**: - Operational Delivery**Working pattern**: - Flexible working, Full-time, Job share, Part-time**Number of jobs available**: -...
-
Compliance Monitoring Officer
1 week ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Limited Full timeJob DescriptionAt 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 youre looking for a place where you can make a real impact and grow your career, consider Chase de Vere. Together, we...
-
Compliance Monitoring Officer
7 days ago
Salford, United Kingdom CHASE DE VERE INDEPENDENT FINANCIAL ADVISERS LIMITED Full timeAt Chase de Vere, we value excellence, integrity, and personal growth.All potential candidates should read through the following details of this job with care before making an application.Joining our team means being part of a supportive environment where your professional development is prioritised, and your contributions are recognised. xsabvtc If youre...
-
Compliance Monitoring Officer
5 days ago
Salford, United Kingdom Chase De Vere Independent Financial Advisers Limited Full timeJob DescriptionAt 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 youre looking for a place where you can make a real impact and grow your career, consider Chase de Vere. Together, we...
-
Compliance Monitoring Officer
5 days ago
Salford, United Kingdom CHASE DE VERE INDEPENDENT FINANCIAL ADVISERS LIMITED Full timeAt Chase de Vere, we value excellence, integrity, and personal growth.All potential candidates should read through the following details of this job with care before making an application.Joining our team means being part of a supportive environment where your professional development is prioritised, and your contributions are recognised. xsabvtc If youre...
-
Compliance Officer
1 day ago
Salford, United Kingdom Bibby Financial Services Full time**Compliance Officer, Remote.** **Bibby Financial Services** have an exciting opportunity available for a meticulous **Compliance Officer **to join our team on a **Flexible/Remote basis.** You will join us on a **full time, permanent** basis and in return, you will receive a **competitive salary of £43,500-£64,500 per annum and other benefits.** We’ve...
