Compliance 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 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
  
  
  
  

WE WOULD LOVE TO HEAR FROM YOU IF:

• 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.
  
  
  
  

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

• Relevant professional qualification.
  
  
  
  

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 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, 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