Commercial Compliance Officer - 14 month FTC
Close Brothers Group
London, UK
Published 2 weeks ago
Business Compliance
The Vacancy
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 Complianceteam where you will ensure that the Close Brothers Commercial Division is provided with relevant advice and guidance, to comply with regulatory requirements and/or industry standards, including those of the FLA, CBI, PRA and the FCA; as applicable.
Working as part of the Commercial team our ideal team member will have previous experience in providing day-to-day support for the implementation of compliance initiatives and regulatory change with excellent written and verbal communication skills.
RESPONSIBILITIES
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, wealth management services and securities trading. At Close Brothers we provide financial support and advice to small businesses and individuals in the UK. Our purpose is to help the people and businesses of Britain thrive over the long term.
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
#LI-TM1 #LI-HYBRID
The Company
At Close Brothers Group, we are all connected by our mission to be the best place in the UK for wealth professionals and their clients.
We believe that everyone should think ahead, have a financial plan and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.
We are a team of about 900 people based in 15 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.
Sustainability is fundamental to our purpose and we have a responsibility to help address the social, economic and environmental challenges facing our business, colleagues and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people.
Our vision is to develop an open and inclusive company that ensures everyone is valued, respected and included, so that in years to come our business will represent a diverse and inclusive workforce from the top down.
We look to recruit individuals from all different backgrounds. If this job is of interest to you but you do not meet every criteria then we encourage you still to apply as we are open to providing training opportunities. As an early adopter of hybrid working we are open to discussing all types of flexible working options, helping you to balance your work and home life.
The Benefits
Private medical
Discounted health checks
Stakeholder pension contribution
Cycle to work scheme
Gym discounts
Purchase additional holiday
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 Complianceteam where you will ensure that the Close Brothers Commercial Division is provided with relevant advice and guidance, to comply with regulatory requirements and/or industry standards, including those of the FLA, CBI, PRA and the FCA; as applicable.
Working as part of the Commercial team our ideal team member will have previous experience in providing day-to-day support for the implementation of compliance initiatives and regulatory change with excellent written and verbal communication skills.
RESPONSIBILITIES
- Support the Compliance Managers and Commercial Head of Compliance in providing compliance advisory services on a variety of topics, including changes to customer-facing documents, procedure reviews, product oversight, incentive schemes, third party oversight, complaints handling and vulnerable customers.
- Act as a key member of projects, regulatory working groups such as Customer Forums, Vulnerable Customer as well as others, providing insight and recommendations to the business as required.
- Develop and maintain effective relationships with key stakeholders, particularly within Risk, Legal and Business Assurance.
- Provide advice, guidance and support on regulatory issues as required, particularly related to CCA, CONC, SYSC8, DISP and ICOBS.
- Review marketing material, financial promotions and customer communications in accordance with the regulatory rules for advertising to customers in various jurisdictions.
- 2 to 4 years of experience of working in a Compliance function within financial services, ideally in a lending organisation.
- An understanding of the regulatory requirements which apply to businesses within the Commercial Division including the Consumer Credit Act and FCA's Consumer Credit sourcebook (CONC).
- Experience navigating the FCA Handbook.
- Strong influencing skills.
- Strong Microsoft Word, Excel and PowerPoint skills.
- An ability to think strategically, commercially and grasp concepts in a bigger picture context.
- Working knowledge of FCA Handbook sections SYSC, CONC, DISP, ICOBS.
- Specific experience with lending products identified under purpose of the role.
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, wealth management services and securities trading. At Close Brothers we provide financial support and advice to small businesses and individuals in the UK. Our purpose is to help the people and businesses of Britain thrive over the long term.
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
#LI-TM1 #LI-HYBRID
The Company
At Close Brothers Group, we are all connected by our mission to be the best place in the UK for wealth professionals and their clients.
We believe that everyone should think ahead, have a financial plan and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.
We are a team of about 900 people based in 15 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.
Sustainability is fundamental to our purpose and we have a responsibility to help address the social, economic and environmental challenges facing our business, colleagues and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people.
Our vision is to develop an open and inclusive company that ensures everyone is valued, respected and included, so that in years to come our business will represent a diverse and inclusive workforce from the top down.
We look to recruit individuals from all different backgrounds. If this job is of interest to you but you do not meet every criteria then we encourage you still to apply as we are open to providing training opportunities. As an early adopter of hybrid working we are open to discussing all types of flexible working options, helping you to balance your work and home life.
The Benefits
Private medical
Discounted health checks
Stakeholder pension contribution
Cycle to work scheme
Gym discounts
Purchase additional holiday