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. 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 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 Are you looking for a career in a dynamic and international environment? Within the International divison of Swiss Life, we are looking for self-determined individuals ready to unleash their talent and shape their career. We have offices in ten countries under four brands. Check out below to discover more about them! With its two business lines, Swiss Life Global Solutions offers a broad range of tailored cross-border life insurance solutions to wealthy individuals (Global Private Wealth Solutions) and to international companies (Global Employee Benefits Solutions). Swiss Life Global Solutions operates in Luxembourg, Liechtenstein, Zurich and Singapore. Follow us on LinkedIn elipsLife is an insurance company for institutional clients (B2B business). We focus on insurance products that cover the financial consequences of illness and accidents. At the forefront of our activities are occupational and private pension provision for death and disability risks. Our clients are companies, collective foundations, pension funds and associations. We are present in Italy, Liechtenstein, the Netherlands and Switzerland. Follow us on LinkedIn With offices across the UK and more than 200 professional advisers, Chase de Vere is one of the country's leading independant financial advisers. It covers a wide range of services, including pensions, estate planning, care funding and wealth management, as well as business protection, employee benefits and workplace financial education. Follow us on LinkedIn Swiss Life Select is specialised in financial planning for private households and the brokerage of financial products. In Austria, Czech Republic and Slovakia, Swiss Life Select accompanies its clients in all situations and supports them in leading a self-determined life. Follow us on LinkedIn: Swiss Life Select Austria Swiss Life Select Czech Republic Swiss Life Select Slovakia