Senior Compliance Officer

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 and promote inclusivity. Vacancies are available on a part-time, job-share or full-time basis because we know the best person for the job isn’t always available full-time. Our aim is to facilitate requests wherever possible and managers will consider requests on an individual basis.

Join the Close Brothers Compliance Team where you will manage a wide range of operational and regulatory tasks relating to the governance matters, regulatory reporting and operational compliance processes performed by the Compliance Operations team.

Working as part of the Compliance team our ideal team member will have previous experience in working independently and cohesively with other team members for the effective delivery of the operational tasks, supervising junior members to design and managing appropriate methodologies and controls to assure quality, efficiency, and accuracy with excellent organisational and planning skills.

Responsibilities

• Managing the CBL enquiries mailbox, audit requests, and assisting with a range of queries including the provision of regulatory advice.

Review and approval of confidential and sensitive requests and maintaining accurate records, including but not limited to Personal Account Dealing, Conflicts of Interest, Gifts and Hospitality and SMCR.

Reporting to regulatory bodies, including liaison with other business areas/functions for the collation and submission of non-financial reporting.

Work with external suppliers and internal technical experts and HR, to ensure effective, efficient, and impactful Mandatory Training modules.

Work with junior members within Central Compliance (and oversee as appropriate), as well as impacted operational areas, including HR, to ensure efficient completion allocation of regulatory activity or implementation actions.

Proactively identify risks and propose, design and execute effective controls and process to mitigate as appropriate, within the team or by other teams.

Demonstrate behaviours that are consistently aligned with the Close Brothers Way, upholding its values and standards in all activities.

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:

• Demonstrated skills and experience to operate with minimal supervision, prioritising and managing own workload, with aptitudes to evolve the role and the effectiveness of a Compliance function.
• Strong interpretative skills within policy content with excellent attention to detail, and ability to summarise at key material level for implementation.
• Skills in the application of rules, and development of operable solutions.
• Good technical knowledge of a wide range of regulatory requirements.
• Practical knowledge of Compliance regulation and processes, as they apply to colleagues, e.g., Conflicts of Interest, Gifts and Hospitality, P.A Dealing, Financial Promotions, SMCR etc.
• A strong background in Central Compliance and/or Compliance advisory roles.
• An ability to build and maintain effective stakeholder relationships.
  
  
  
  

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

• Relevant professional qualifications (e.g. Qualified Lawyer, Accountant Banking and or financial regulations).
  
  
  
  

We are committed to providing an inclusive and accessible recruitment process. We recognise that candidates may have specific needs that require adjustments to ensure they have a fair and equal opportunity to demonstrate their skills and abilities. Candidates who require the job description or application form in an alternative format, or any other adjustments, are encouraged to email us at recruit.ssc@closebrothers.com 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