Compliance Monitoring Officer
5 days ago
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 involveSupport 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 needGood 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 firmWorking within a multifaceted team and with a range of stakeholdersExperience of interpreting the requirements of the FCA HandbookDrafting concise and effective reportsExcellent accuracy skills and attention to detailExcellent planning and organisational skillsFully proficient on Microsoft office, in particular ExcelWhat’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 bonusA day off for your birthdayLife assurance – 4 x salaryComprehensive induction and training programmeFunded exams and paid study leaveA wide range of voluntary flexible benefits to suit your individual needsThe option to buy additional holiday daysCycle to work SchemeTwo paid volunteering days each year, to support your local communityEmployee Assistance Programme with access to a 24/7 helplineAccess to our free mortgage service, through our internal mortgage teamOur Employee Forum and Diversity & Inclusion groupLocal and companywide events in support of our company charities #J-18808-Ljbffr
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Compliance Monitoring Officer
7 days ago
Manchester, United Kingdom Ocean Finance Full timeThink Money Group is a leading financial technology business offering a wide range of personal finance options to consumers such as our credit card, personal loans and a range of mortgages and second charge loan products for homeowners. We are a fast-growing business offering a dynamic working environment where innovation is at the heart of everything we...
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Compliance Monitoring Officer
2 weeks ago
Manchester, United Kingdom MERJE Full timeOur client, a leading Financial Services firmare looking for a Compliance Monitoring Officertojoin theteam on a permanent basis. As Compliance Monitoring Officer you will assist the Company in the management of regulatoryrisk by undertaking independent assessments and monitoring to determine the adequacy and effectiveness of the measures and procedures put...
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Compliance Monitoring Officer
3 days ago
Manchester, United Kingdom AJ Bell Full time**Job Description**: A new opportunity has become available within the compliance team at our Manchester office for a Compliance Monitoring Officer. This is a fantastic opportunity to join one of the UK's fastest growing investment platform businesses where you can expand on your existing skills and continue to build a successful career. Supporting the Risk...
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Compliance Monitoring Officer
5 days ago
Manchester, United Kingdom AJ Bell Full time**Job Description**: Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance. We are looking for someone with...
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Compliance Monitoring Officer
1 week ago
Manchester, United Kingdom AJ Bell Full time**Job Description**: Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance. We are looking for someone with...
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Compliance Monitoring Officer
1 week ago
Manchester, United Kingdom Ortus PSR Full timeWe are looking to recruit a Compliance professional for a leading Pension provider in Manchester. You will play a pivotal role within the organisation, providing a key point of contact for policy owners, stakeholders, and members of the Senior Management Team.The post holder will act with integrity, tact, giving due consideration to the issues at...
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Compliance Monitoring Officer
3 days ago
Manchester, United Kingdom Chase de Vere Full timeThe 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,...
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Senior Compliance Monitoring Officer
3 days ago
Manchester, United Kingdom AJ Bell Full time**Job Description**: **We're recruiting a Senior Compliance Monitoring Officer for our Manchester office.** **Purpose of the role**: AJ Bell is a regulated firm and is required by the FCA to “_monitor and, on a regular basis, to assess the adequacy and effectiveness of the measures and procedures put in place in accordance with SYSC 6.1.2 R, and the...
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Senior Compliance Monitoring Officer
2 weeks ago
Manchester, United Kingdom MERJE Ltd Full timeSalary: up to £50,000 + excellent benefits Our client is a well-regarded organisation with a long history of providing an exceptional level of services to its customers. An exciting opportunity has arisen to join the business in the role of Senior Compliance Monitoring Officer, where you will designand deliver regulatory risk and compliance assurance...
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Compliance Monitoring Officer
1 week ago
Manchester, England, United Kingdom Chase de Vere Full time £45,000 - £60,000 per yearThe 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,...
