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- Tasks: Join our Compliance team to ensure regulatory compliance and provide guidance on various topics.
- Company: Close Brothers is a leading UK merchant banking group focused on lending and wealth management.
- Benefits: Enjoy hybrid working, private medical, gym discounts, and more perks to support your well-being.
- Why this job: Be part of a diverse team making a real impact in financial services while developing your skills.
- Qualifications: 2-4 years in compliance within financial services; strong communication and Microsoft Office skills required.
- Other info: We celebrate diversity and encourage applicants from all backgrounds, offering training opportunities.
The predicted salary is between 36000 - 60000 £ per year.
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 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.
WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE/ARE:
- 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.
IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE:
- 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.
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 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:
To find out more about life at Close Brothers:
To find out more about our benefits:
To find out more about our commitment to creating an inclusive environment:
Our Responsibility – Diversity and inclusion / Close Brothers Group
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
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Commercial Compliance Officer - 14 month FTC employer: Close Brothers Group
Contact Detail:
Close Brothers Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Commercial Compliance Officer - 14 month FTC
✨Tip Number 1
Familiarize yourself with the regulatory requirements specific to the Commercial Division, especially the Consumer Credit Act and FCA's Consumer Credit sourcebook (CONC). This knowledge will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who have experience in financial services or lending organizations. Engaging with industry peers can provide valuable insights and may even lead to referrals.
✨Tip Number 3
Showcase your influencing skills by preparing examples of how you've successfully navigated compliance challenges in the past. Be ready to discuss these experiences during your interview to highlight your problem-solving abilities.
✨Tip Number 4
Research Close Brothers and their approach to compliance and inclusivity. Understanding their values and mission will allow you to tailor your responses in interviews and show that you're a great fit for their team.
We think you need these skills to ace Commercial Compliance Officer - 14 month FTC
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Commercial Compliance Officer position. Highlight key responsibilities and required skills, and think about how your experience aligns with these.
Tailor Your CV: Customize your CV to reflect your relevant experience in compliance within financial services. Emphasize your understanding of regulatory requirements and any specific experience with lending products.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your communication skills and explains why you are a great fit for the role. Mention your previous experience in compliance and how it relates to the responsibilities outlined in the job description.
Highlight Soft Skills: In your application, be sure to highlight your influencing skills and ability to build relationships with stakeholders. These are crucial for the role and will set you apart from other candidates.
How to prepare for a job interview at Close Brothers Group
✨Understand Regulatory Requirements
Make sure you have a solid grasp of the regulatory requirements relevant to the role, such as the Consumer Credit Act and FCA's Consumer Credit sourcebook (CONC). Be prepared to discuss how your previous experience aligns with these regulations.
✨Showcase Your Communication Skills
Since excellent written and verbal communication skills are crucial for this position, practice articulating your thoughts clearly. Prepare examples of how you've effectively communicated compliance advice in past roles.
✨Demonstrate Stakeholder Management
Highlight your ability to build and maintain relationships with key stakeholders. Think of specific instances where you successfully collaborated with teams like Risk, Legal, or Business Assurance to achieve compliance goals.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Prepare by thinking through potential challenges you might face in the role and how you would address them.
