Overall Summary
At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life.
Join the Close Brothers Compliance Team where you will support the Compliance Manager in independently and proactively managing a wide range of Regulatory risks, governance, processes, and controls, coordinating with all staff levels, including senior management and deep subject matter experts for appropriate execution.
The ideal team member will have previous experience in the regulatory environment as it applies to banking across a variety of Compliance related matters with excellent interpretative skills with excellent attention to detail, and ability to summarise at key material level.
Responsibilities
- Support the Compliance Manager and other Officers in identifying relevant regulation or risks for the evolution of Compliance policies, standards, procedures, and controls.
- Work with the Compliance Officers and Compliance Analysts in Compliance and impacted operational areas, including HR, to ensure effective and efficient allocation of regulatory activity or implementation actions.
- Manage and develop relationships with, subject matter experts and colleagues of all levels across the group.
- Direct liaison with technical advisory experts to ensure that rules are correctly interpreted, and submissions required by the regulators are correctly followed.
- Reporting and cyclical submissions to regulatory bodies, with accurate and prompt correspondence with business colleagues for data, arranging relevant expert reviews.
- Manage or support the review and completion of the Risk and Control Self-Assessment (RCSA) for Group Compliance.
- Identify relevant regulatory and operational risks, and controls to support the evolution of Compliance control environment.
- Ensure that reporting, operational and reviewing activities required by regulators are carried out to the standards required internally and externally.
WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:
- A strong background in Central Compliance and/or Compliance advisory roles.
- Good technical knowledge of a wide range of regulatory requirements.
- Excellent verbal and written communication skills with experience in liaising with senior management.
- Practical knowledge of highly relevant areas of Compliance regulation and processes, as they apply internally to colleagues, e.g., Conflicts of Interest, Gifts and Hospitality, P.A Dealing, Financial Promotions, Outsourcing etc.
- Demonstrated skills and experience to operate with minimal supervision, with aptitudes to evolve the role and the effectiveness of a Compliance function
- Demonstrated interest in regulatory, including relevant current affairs and maintaining appropriate sources of information and networks
IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE:
- Demonstrated skills and experience to operate with minimal supervision, and to evolve the role and the effectiveness of a Compliance function are key to this role; however, professional qualifications in the field of Banking and/or Financial regulation would be beneficial, but not essential. There will be opportunities for supporting continued educational development in-role.
- Knowledge and experience of SMCR requirements.
We are an inclusive organisation and committed to ensuring our recruitment process is as accessible as possible to everyone. We will make adjustments for people who have a disability or long-term condition. If you need the job description or application form in an alternative format or would like to discuss the recruitment process with us, please email us at
[email protected] or request a call back.
About Us
At Close Brothers we support employees to balance their work life priorities and in this role you will be able to enjoy a mixture of hybrid working.
Close Brothers is a leading UK merchant banking group providing lending, deposit taking and securities trading. We employ approximately 3,000 people, principally in the United Kingdom and Ireland. Close Brothers Group plc is listed on the London Stock Exchange and is a constituent of the FTSE 250.
To find out more about Close Brothers, please visit our careers page: https://www.closebrothers.com/careers
To find out more about life at Close Brothers:
https://www.closebrothers.com/life-close-brothers#374017299-899295541
To find out more about our benefits:
https://www.closebrothers.com/employee-benefits
To find out more about our commitment to creating an inclusive environment:
Our Responsibility - Diversity and inclusion ¦ Close Brothers Group
