Compliance Analyst (London/Doncaster)
Close Brothers Group
London, UK
Published 4 months ago
Compliance Management Systems / Technology
Full time
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 Compliance Team where you will predominantly support the Conduct Risk Manager in the monitoring and improvement of the Conduct Risk Framework and training plan across the Bank. Supporting with the production of resources and engage with stakeholders to enhance and continuously evolve capabilities, understanding and awareness to support a robust and comprehensive approach to acting to deliver good customer outcomes.
The successful candidate will support effective change management for relevant regulatory matters relating to conduct, including producing guidance documents.
RESPONSIBILITIES
Reporting
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 Compliance Team where you will predominantly support the Conduct Risk Manager in the monitoring and improvement of the Conduct Risk Framework and training plan across the Bank. Supporting with the production of resources and engage with stakeholders to enhance and continuously evolve capabilities, understanding and awareness to support a robust and comprehensive approach to acting to deliver good customer outcomes.
The successful candidate will support effective change management for relevant regulatory matters relating to conduct, including producing guidance documents.
RESPONSIBILITIES
Reporting
- Support with the ongoing review of the Conduct Risk Framework, proposing enhancements for the effective management, monitoring and reporting of Conduct Risk
- Assist with the embedding of Consumer Duty into BAU practice
- Review and update Policies and Standards relating to Conduct Risk
- Support with the training of key conduct initiatives, through the creation of guidance documents and engagement with key stakeholders
- Carry out regular horizon scanning to identify regulatory change and developments, such as FCA, PRA and EU legislation, that are applicable to the Bank
- Support the firm with gap analysis and embedding regulatory change identified as part of horizon scanning as appropriate
- Prepare accurate reports, MI and gap analyses for inclusion in committee and forum packs as required, in a timely manner
- Monitor the FOS Enquiries inbox, ensuring central queries are addressed or appropriately directed to stakeholders, and invoices are verified and paid promptly
- Educated to degree level or equivalent.
- Previous Compliance experience in a financial services role or from a consultancy background within a financial services practice.
- Working knowledge of FCA and PRA regulatory requirements.
- Dexterity to switch seamlessly between big picture thinking and detailed impact analyses when required.
- Experience in fast-paced environments, adapting quickly to changing priorities.
- Excellent communication and presentation skills.
- Self-organised with the ability to effectively manage time across multiple projects with competing business demands and priorities.
- Strong Microsoft Word, Excel and PowerPoint skills.
- Experience navigating the FCA Handbook.
- Relevant professional qualification.
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