Intermediary Oversight Analyst

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 Retail Division where you will deliver on our regulatory obligations to monitor the intermediaries each business has a commercial relationship with, to ensure that best practice standards are followed, and customer harm is prevented.

This role involves supporting the management and administration of the Broker Monitoring Process in Premium Finance and the Intermediary of Concern Process in Motor Finance, holding stakeholders accountable for deadlines associated within these processes and liaising with senior stakeholders to develop and improve the process.

RESPONSIBILITIES

• Management of Broker Monitoring and Intermediary of Concern Process
• Coordination of investigation of potential intermediary conduct concerns
• Holding meetings with stakeholders to provide education and drive engagement with relation to conduct risk in intermediaries
• Support Senior Intermediary Oversight Analyst with intermediary audits
• Producing management information for senior stakeholders relating to Broker Monitoring and Intermediaries of Concern
• Producing reports for the Broker Concerns Forum and Intermediary Oversight Forum
• Coordinate senior stakeholder response to complex intermediary conduct concerns, including chairing forum working groups
• Ensure that all Governance and Compliance requirements are adhered to and all reporting and reviewing activities required by the Regulatory Bodies are carried out to the standards required

WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:

• Effective root cause analysis skills
• Strong attention to detail
• experience delivering effective Management Information (MI)
• The ability to plan and organise own workloads
• The ability to handle difficult conversations in a face to face environment
• Conflict handling skills and ability to provide positive but constructive feedback
• Experience using Microsoft Excel and Word skills

IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE:

• Experience in Financial Services
• Experience with managing and influencing senior managers
• Development of effective management information
• Sound knowledge of operational risk frameworks
• Knowledge of regulatory environment

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