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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 Intermediary Oversight team where you will lead the development and accountability of the intermediary oversight framework, guiding the team in ensuring compliance with regulatory, contractual, and internal standards across the intermediary landscape. Working as part of the Intermediary Oversight team our ideal team member will have previous experience in relationship management, risk control, process optimisation, intermediary controls design and testing and strategic governance with excellent Analytical & MI skills.
Responsibilities
- Monitor and manage intermediary (Broker & Dealer partners) activities. Coordinate reviews, audits, and investigations into conduct issues and performance concerns. Engage in and support intermediary on-boarding processes.
- Design and maintain oversight frameworks, including governance forums, reporting protocols, documentation, and remedial action plans. Ensure compliance with regulations including but not limited to CONC.
- Continual review of team processes and methodologies to ensure optimisation, leveraging off all available tools. Have a willingness to challenge the status quo, particularly in respect of internal and external intermediary control processes, driving change and a question and solution culture within the team.
- Understand the data landscape across the division, facilitating data collaboration where possible to ensure consistency of data. Determine, track and report on intermediary metrics, risk alerts, compensation flows, and audit outcomes. Provide data driven challenge. Deliver appropriate MI to senior management and regulatory bodies
- Be the regulatory (including CONC) SME for the team. Prepare for and support regulatory audits (SOX), respond to inquiries, and manage corrective/preventative actions
- Recruit, train and embed a high calibre team, ensuring a structure appropriate to support the businesses, CCO and the team obligations.
- Empower, nurture and engage team members in an inclusive culture through coaching, mentoring and team-development in order to increase the performance of the individual and the team.
- Work with the HR Business Partner to ensure that an effective performance review is put in place, including setting objectives, personal development planning and performance standards with all direct reports.
- Provide regular constructive feedback to direct reports and encourage employees to take proactive responsibility for their own personal development.
Developing Our People: as a line manager, you will be responsible for inspiring and motivating your team, as well as developing performance through coaching. You will encourage your team to take responsibility for their own personal development and provide support through regular feedback.
WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:
- Strong understanding of financial intermediary relationships and controls, regulatory frameworks (CONC), and risk/controls environment
- Proficiency in Excel, MI production, root cause analysis, and performance benchmarking . Strong analytical skills with the ability to identify trends and risks. Attention to detail ensuring accuracy, clarity and regulatory compliance.
- Exceptional stakeholder management, facilitation of difficult conversations, and clear reporting skills .
- Familiarity with audit processes, regulatory reporting, and frameworks like SOX, GDPR, CONC.
- Proven ability to lead teams and deliver strategic and operational change.
IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE:
- Experience in an oversight role.
- Experience in managing people through change.
- Professional qualifications (e.g., ACA, ACCA, IRM, ORM, AQ).
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
