[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"job-compliance-monitoring-officer-chase-de-vere-independent-financial-advisers-limited-2-de-gb":3},{"id":4,"slug":5,"title":6,"description":7,"company":8,"is_featured":12,"featured_until":7,"is_active":13,"deactivated_at":7,"is_enriched":13,"processed_job_posting_json":14,"processed_latitude":66,"processed_longitude":67,"processed_employment_types":68,"processed_working_hours":69,"processed_working_hours_labels":71,"processed_home_office":72,"processed_salary_min":63,"processed_salary_max":64,"processed_salary_currency":60,"processed_salary_source":73,"processed_benefits":74,"processed_benefits_labels":88,"processed_industry":89,"processed_skills":7,"processed_job_location":90,"processed_full_address_gmaps":92,"processed_street_gmaps":94,"processed_city_gmaps":95,"processed_postal_code_gmaps":96,"processed_country_gmaps":97,"processed_country_iso_code_gmaps":99,"full_description":17,"formatted_description":100,"processed_employment_types_labels":36,"processed_home_office_labels":34,"processed_industry_labels":38,"processed_it_skills":101,"processed_it_skills_labels":103,"processed_soft_skills":104,"processed_soft_skills_labels":106,"processed_job_expertise_skills":107,"processed_job_expertise_skills_labels":108,"processed_language_requirements":109,"processed_total_experience_years":102,"processed_professional_field":116,"processed_professional_field_labels":118,"processed_leadership_role":12,"processed_date_posted":20,"raw_job_url":119,"apply_url":7,"raw_hiringOrganization_logo_url":7,"translations":7,"canonical_industry_key":89,"canonical_industry_label":38,"max_cpc":120,"actual_cpc":7},87983,"compliance-monitoring-officer-chase-de-vere-independent-financial-advisers-limited-2","Compliance Monitoring Officer",null,{"name":9,"slug":10,"logo_url":11},"Chase de Vere Independent Financial Advisers Limited","chase-de-vere-independent-financial-advisers-limited","https:\u002F\u002Fchasedevere.co.uk\u002Fwp-content\u002Fuploads\u002F2025\u002F03\u002Fcdv-logo.png",false,true,{"@context":15,"@type":16,"title":6,"description":17,"hiringOrganization":18,"datePosted":20,"validThrough":21,"jobLocation":22,"jobLocationType":34,"employmentType":35,"industry":37,"skills":39,"baseSalary":58},"https:\u002F\u002Fschema.org\u002F","JobPosting","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 compliance with regulatory requirements and support Chase de Vere in identifying, assessing and managing regulatory risks. The role requires the holder to undertake reviews from end-to-end, including regulatory research, defining review scope, conducting testing and investigations, analysing data, producing reports and tracking actions through to completion. Compliance Monitoring Programme Assist the Risk and Assurance Manager in the development and maintenance of the annual risk-based Compliance Monitoring Plan. Support the Head of Risk and Compliance and Risk and Assurance Manager with ad hoc reviews, assessments and monitoring activities as required. Undertake risk-based compliance monitoring reviews in accordance with the agreed monitoring plan, including: Researching relevant regulations and guidance to determine the scope of monitoring reviews. Planning and carrying out testing, investigations and data analysis to assess the effectiveness of systems and controls. Identifying areas of non-compliance, potential risks and opportunities for improvement. Producing clear, concise and audience-appropriate reports detailing findings, risks and recommended actions. Working with stakeholders across the business to ensure completion of agreed actions and improvements. Undertake deep dive thematic reviews into specific regulatory or business requirements and provide recommendations where appropriate. Conduct regular monitoring activities on areas of foreseeable risk and provide summary reports of outcomes and actions. Produce management information and reporting to keep the Risk and Assurance Manager and Head of Risk and Compliance informed of ongoing monitoring activities and outcomes. Appointed Representative Undertake monitoring of the Appointed Representative on both a regular and thematic basis. Assess and monitor adherence to regulatory and business requirements. Contribute to annual reporting on the effectiveness of Chase de Vere's oversight arrangements. Maintain action trackers for issues identified through monitoring activities. Follow up actions through to completion and resolution of underlying issues. What You Will Need Good understanding of regulations applicable to an FCA-authorised financial services firm providing financial advice and discretionary management services. Relevant financial services regulation or compliance qualification desirable, although equivalent knowledge gained through experience will also be considered. Industry experience within a relevant role in an FCA-authorised firm. Experience interpreting FCA Handbook requirements and applying them in practice. Experience drafting concise and effective reports and communicating findings to stakeholders. Strong analytical skills with the ability to identify areas of potential risk and assess control effectiveness. Excellent accuracy, attention to detail and organisational skills. Strong written and verbal communication skills. Proficient in Microsoft Office, particularly Excel. Ability to work independently, prioritise workload and build effective relationships with stakeholders at all levels. 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\u002F7 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 Suchen Sie einen Job in einem dynamischen und internationalen Umfeld? Bei Swiss Life International suchen wir selbstbestimmte Persönlichkeiten, die bereit sind, ihr Talent zu entfalten und ihre Karriere zu gestalten. Wir sind in zehn Ländern mit vier Marken vertreten. Unten erfahren Sie mehr darüber. Swiss Life Global Solutions bietet mit ihren beiden Geschäftsbereichen eine breite Palette von massgeschneiderten, grenzüberschreitenden Lebensversicherungslösungen für vermögende Privatpersonen (Global Private Wealth Solutions) und für internationale Unternehmen (Global Employee Benefits Solutions) an. Swiss Life Global Solutions ist in Luxemburg, Liechtenstein, Zürich und Singapur tätig. Folgen Sie uns auf LinkedIn elipsLife ist ein Versicherungsunternehmen für institutionelle Kunden (B2B-Geschäft). Wir konzentrieren uns auf Versicherungsprodukte zur Absicherung der finanziellen Folgen von Krankheit und Unfall. Im Vordergrund unserer Tätigkeit steht die betriebliche und private Vorsorge für die Risiken Tod und Invalidität. Unsere Kunden sind Unternehmen, Sammelstiftungen, Pensionskassen und Verbände. Wir sind in Italien, Liechtenstein, den Niederlanden und der Schweiz vertreten. Folgen Sie uns auf LinkedIn Mit Niederlassungen in ganz Grossbritannien und mehr als 200 professionellen Beratern ist Chase de Vere einer der führenden unabhängigen Finanzberater des Landes. Das Unternehmen deckt ein breites Spektrum an Dienstleistungen ab, darunter Altersvorsorge, Nachlassplanung, Pflegefinanzierung und Vermögensverwaltung sowie Unternehmensschutz, Sozialleistungen und finanzielle Bildung am Arbeitsplatz. Folgen Sie uns auf LinkedIn Swiss Life Select ist auf die Finanzplanung für private Haushalte und die Vermittlung von Finanzprodukten spezialisiert. In Österreich, Tschechien und der Slowakei begleitet Swiss Life Select seine Kunden in allen Lebenslagen und unterstützt sie dabei, ein selbstbestimmtes Leben zu führen. Folgen Sie uns auf LinkedIn: Swiss Life Select Österreich Swiss Life Select Tschechische Republik Swiss Life Select Slowakei",{"@type":19,"name":9},"Organization","2026-09-30","2027-09-30",[23],{"@type":24,"address":25,"geo":30},"Place",{"@type":26,"addressLocality":27,"addressCountry":28,"addressRegion":29},"PostalAddress","Manchester","GB","England",{"@type":31,"latitude":32,"longitude":33},"GeoCoordinates",53.4807593,-2.2426305,"ONSITE",[36],"PERMANENT",[38],"Financial Services",[40,41,42,43,44,45,46,47,48,49,50,51,52,53,54,55,56,57],"Microsoft Office","Excel","Analytical Skills","Attention to Detail","Organizational Skills","Written Communication","Verbal Communication","Ability to Work Independently","Prioritization","Relationship Building","Regulatory Compliance","Risk Management","Compliance Monitoring","Data Analysis","Report Writing","Stakeholder Management","FCA Handbook Interpretation","Financial Services Regulation",{"@type":59,"currency":60,"value":61},"MonetaryAmount","GBP",{"@type":62,"minValue":63,"maxValue":64,"unitText":65},"QuantitativeValue",45000,60000,"YEAR",[32],[33],"permanent",[70],"FULL_TIME",[70],"onsite","estimated",[75,76,77,78,79,80,81,82,83,84,85,86,87],"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","Option to buy additional holiday days","Cycle to work Scheme","Paid volunteering days each year","Employee Assistance Programme with access to a 24\u002F7 helpline","Access to free mortgage service","Employee Forum and Diversity & Inclusion group","Local and companywide events in support of company charities",[75,76,77,78,79,80,81,82,83,84,85,86,87],"financial services",[91],"chase, manchester, vereinigtes königreich",[93],"Manchester, Vereinigtes Königreich",[],[27],[],[98],"Vereinigtes Königreich",[28],"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.\n\nOur 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.\n\nAt 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.\n\nThe Compliance Monitoring Officer is responsible for undertaking reviews in line with the risk-based Compliance Monitoring Programme to ensure compliance with regulatory requirements and support Chase de Vere in identifying, assessing and managing regulatory risks. The role requires the holder to undertake reviews from end-to-end, including regulatory research, defining review scope, conducting testing and investigations, analysing data, producing reports and tracking actions through to completion.\n\n## Compliance Monitoring Programme\n\n- Assist the Risk and Assurance Manager in the development and maintenance of the annual risk-based Compliance Monitoring Plan.\n- Support the Head of Risk and Compliance and Risk and Assurance Manager with ad hoc reviews, assessments and monitoring activities as required.\n- Undertake risk-based compliance monitoring reviews in accordance with the agreed monitoring plan, including:\n- Researching relevant regulations and guidance to determine the scope of monitoring reviews.\n- Planning and carrying out testing, investigations and data analysis to assess the effectiveness of systems and controls.\n- Identifying areas of non-compliance, potential risks and opportunities for improvement.\n- Producing clear, concise and audience-appropriate reports detailing findings, risks and recommended actions.\n- Working with stakeholders across the business to ensure completion of agreed actions and improvements.\n- Undertake deep dive thematic reviews into specific regulatory or business requirements and provide recommendations where appropriate.\n- Conduct regular monitoring activities on areas of foreseeable risk and provide summary reports of outcomes and actions.\n- Produce management information and reporting to keep the Risk and Assurance Manager and Head of Risk and Compliance informed of ongoing monitoring activities and outcomes.\n\n## Appointed Representative\n\n- Undertake monitoring of the Appointed Representative on both a regular and thematic basis.\n- Assess and monitor adherence to regulatory and business requirements.\n- Contribute to annual reporting on the effectiveness of Chase de Vere's oversight arrangements.\n- Maintain action trackers for issues identified through monitoring activities.\n- Follow up actions through to completion and resolution of underlying issues.\n\n## What You Will Need\n\n- Good understanding of regulations applicable to an FCA-authorised financial services firm providing financial advice and discretionary management services.\n- Relevant financial services regulation or compliance qualification desirable, although equivalent knowledge gained through experience will also be considered.\n- Industry experience within a relevant role in an FCA-authorised firm.\n- Experience interpreting FCA Handbook requirements and applying them in practice.\n- Experience drafting concise and effective reports and communicating findings to stakeholders.\n- Strong analytical skills with the ability to identify areas of potential risk and assess control effectiveness.\n- Excellent accuracy, attention to detail and organisational skills.\n- Strong written and verbal communication skills.\n- Proficient in Microsoft Office, particularly Excel.\n- Ability to work independently, prioritise workload and build effective relationships with stakeholders at all levels.\n\nBy 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:\n\n- 25 days annual leave (increases to 30 days with service) plus Bank Holidays\n- Contributory pension scheme\n- Life assurance – 4 x annual salary\n- Comprehensive induction and training programme\n- Funded exams and paid study leave\n- A wide range of voluntary flexible benefits to suit your individual needs\n- The option to buy additional holiday days\n- Cycle to work Scheme\n- Paid volunteering days each year\n- Employee Assistance Programme with access to a 24\u002F7 helpline\n- Access to our free mortgage service, through our internal mortgage team\n- Our Employee Forum and Diversity & Inclusion group\n- Local and companywide events in support of our company charities\n\nSuchen Sie einen Job in einem dynamischen und internationalen Umfeld? Bei Swiss Life International suchen wir selbstbestimmte Persönlichkeiten, die bereit sind, ihr Talent zu entfalten und ihre Karriere zu gestalten. Wir sind in zehn Ländern mit vier Marken vertreten. Unten erfahren Sie mehr darüber.\n\nSwiss Life Global Solutions bietet mit ihren beiden Geschäftsbereichen eine breite Palette von massgeschneiderten, grenzüberschreitenden Lebensversicherungslösungen für vermögende Privatpersonen (Global Private Wealth Solutions) und für internationale Unternehmen (Global Employee Benefits Solutions) an. Swiss Life Global Solutions ist in Luxemburg, Liechtenstein, Zürich und Singapur tätig. Folgen Sie uns auf LinkedIn\n\nelipsLife ist ein Versicherungsunternehmen für institutionelle Kunden (B2B-Geschäft). Wir konzentrieren uns auf Versicherungsprodukte zur Absicherung der finanziellen Folgen von Krankheit und Unfall. Im Vordergrund unserer Tätigkeit steht die betriebliche und private Vorsorge für die Risiken Tod und Invalidität. Unsere Kunden sind Unternehmen, Sammelstiftungen, Pensionskassen und Verbände. Wir sind in Italien, Liechtenstein, den Niederlanden und der Schweiz vertreten. Folgen Sie uns auf LinkedIn\n\nMit Niederlassungen in ganz Grossbritannien und mehr als 200 professionellen Beratern ist Chase de Vere einer der führenden unabhängigen Finanzberater des Landes. Das Unternehmen deckt ein breites Spektrum an Dienstleistungen ab, darunter Altersvorsorge, Nachlassplanung, Pflegefinanzierung und Vermögensverwaltung sowie Unternehmensschutz, Sozialleistungen und finanzielle Bildung am Arbeitsplatz. Folgen Sie uns auf LinkedIn\n\nSwiss Life Select ist auf die Finanzplanung für private Haushalte und die Vermittlung von Finanzprodukten spezialisiert. In Österreich, Tschechien und der Slowakei begleitet Swiss Life Select seine Kunden in allen Lebenslagen und unterstützt sie dabei, ein selbstbestimmtes Leben zu führen. Folgen Sie uns auf LinkedIn: Swiss Life Select Österreich Swiss Life Select Tschechische Republik Swiss Life Select Slowakei",{"excel":102,"microsoft office":102},3,[40,41],{"analytical skills":105,"attention to detail":105,"organizational skills":105,"written communication":105,"verbal communication":105,"ability to work independently":105,"prioritization":105,"relationship building":105},4,[42,43,44,45,46,47,48,49],{"data analysis":105,"report writing":105,"risk management":105,"compliance monitoring":105,"regulatory compliance":105,"stakeholder management":105,"fca handbook interpretation":105,"financial services regulation":105},[50,51,52,53,54,55,56,57],{"detected_language_jobad":110,"required":111},"en",[112],[113],{"language":114,"level":115},"ENGLISH","C1",[117],"Finance, Insurance and Related Business Administrative Activities",[117],"https:\u002F\u002Fswisslife.wd3.myworkdayjobs.com\u002Fde-de\u002Fswiss_life_international_division_career_site\u002Fjob\u002Funited-kingdom---manchester\u002Fcompliance-monitoring-officer_r13523",1]