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 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 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 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
Dec 09, 2025
Full time
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 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 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 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
Chase de Vere are known as experts in our field and we pride ourselves on the reputation we have built over the past 55 years of business. We know we can't achieve the results we do without the right people. We are currently looking to recruit a Private Client Support Administrator to join our team. What your role will involve Providing 1-1 support for Independent Financial Advisers Responding to day to day technical and process queries from Advisers, Administrators and Clients Recording and updating the back office systems Booking client review appointments and managing IFA's diary Maintaining client files throughout the application stage Processing new business received via post or online Loading relevant data on to the CRM database Updating IFA's & Clients' on the progress of their new business cases Adhering to FCA regulations and internal policy and procedure Developing and maintaining strong working relationships with colleagues across the business What you will need Experience of working within a financial advisory firm. It shows you have an understanding of our business and that you are comfortable working in this demanding yet rewarding industry. Experience working within defined service standards, policies and procedures Good communication skills, via email and phone, are an essential quality that we would look for when recruiting administrative professionals. From correspondence with product providers to dealing with requests from advisers and clients, confident communication skills are paramount. Good time management and organisational skills are vitally important. You will be supporting a busy adviser and managing a variety of tasks and deadlines at any one time, so the ability to prioritise your workload and deliver under pressure is critical. The ability to work in a fast-paced environment whilst maintaining excellent attention to detail. Be confident using all programmes within the Microsoft Office Suite (Word/ Excel/ PowerPoint) 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 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
Dec 09, 2025
Full time
Chase de Vere are known as experts in our field and we pride ourselves on the reputation we have built over the past 55 years of business. We know we can't achieve the results we do without the right people. We are currently looking to recruit a Private Client Support Administrator to join our team. What your role will involve Providing 1-1 support for Independent Financial Advisers Responding to day to day technical and process queries from Advisers, Administrators and Clients Recording and updating the back office systems Booking client review appointments and managing IFA's diary Maintaining client files throughout the application stage Processing new business received via post or online Loading relevant data on to the CRM database Updating IFA's & Clients' on the progress of their new business cases Adhering to FCA regulations and internal policy and procedure Developing and maintaining strong working relationships with colleagues across the business What you will need Experience of working within a financial advisory firm. It shows you have an understanding of our business and that you are comfortable working in this demanding yet rewarding industry. Experience working within defined service standards, policies and procedures Good communication skills, via email and phone, are an essential quality that we would look for when recruiting administrative professionals. From correspondence with product providers to dealing with requests from advisers and clients, confident communication skills are paramount. Good time management and organisational skills are vitally important. You will be supporting a busy adviser and managing a variety of tasks and deadlines at any one time, so the ability to prioritise your workload and deliver under pressure is critical. The ability to work in a fast-paced environment whilst maintaining excellent attention to detail. Be confident using all programmes within the Microsoft Office Suite (Word/ Excel/ PowerPoint) 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 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