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- Tasks: Monitor intermediaries and ensure compliance with best practices to prevent customer harm.
- Company: Close Brothers is a leading UK merchant banking group focused on lending and investment management.
- Benefits: Enjoy hybrid working options, flexible hours, and a supportive, inclusive work environment.
- Why this job: Join a diverse team dedicated to making a positive social impact while developing your career.
- Qualifications: Strong analytical skills, attention to detail, and experience with Microsoft Excel and Word are essential.
- Other info: We welcome applicants from all backgrounds and provide training opportunities for those who need them.
The predicted salary is between 28800 - 43200 £ per year.
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 Retail Division where you will deliver on our regulatory obligations to monitor the intermediaries each business has a commercial relationship with, to ensure that best practice standards are followed, and customer harm is prevented. This role involves supporting the management and administration of the Broker Monitoring Process in Premium Finance and the Intermediary of Concern Process in Motor Finance, holding stakeholders accountable for deadlines associated within these processes and liaising with senior stakeholders to develop and improve the process.
RESPONSIBILITIES
- Management of Broker Monitoring and Intermediary of Concern Process
- Coordination of investigation of potential intermediary conduct concerns
- Holding meetings with stakeholders to provide education and drive engagement with relation to conduct risk in intermediaries
- Support Senior Intermediary Oversight Analyst with intermediary audits
- Producing management information for senior stakeholders relating to Broker Monitoring and Intermediaries of Concern
- Producing reports for the Broker Concerns Forum and Intermediary Oversight Forum
- Coordinate senior stakeholder response to complex intermediary conduct concerns, including chairing forum working groups
- Ensure that all Governance and Compliance requirements are adhered to and all reporting and reviewing activities required by the Regulatory Bodies are carried out to the standards required
WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:
- Effective root cause analysis skills
- Strong attention to detail
- The ability to plan and organise own workloads
- The ability to handle difficult conversations in a face to face environment
- Conflict handling skills and ability to provide positive but constructive feedback
- Experience using Microsoft Excel and Word skills
IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE:
- Experience in Financial Services
- Experience with managing and influencing senior managers
- Development of effective management information
- Sound knowledge of operational risk frameworks
- Knowledge of regulatory environment
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.
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.
Intermediary Oversight Analyst employer: Close Brothers
Contact Detail:
Close Brothers Recruiting Team
recruit.ssc@closebrothers.com
StudySmarter Expert Advice 🤫
We think this is how you could land Intermediary Oversight Analyst
✨Tip Number 1
Familiarise yourself with the regulatory obligations and compliance standards relevant to the financial services industry. Understanding these will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the financial services sector, especially those involved in intermediary oversight. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss your conflict handling skills and how you've managed difficult conversations in the past. This is crucial for the role, so having specific examples ready will set you apart.
✨Tip Number 4
Showcase your analytical skills by being ready to discuss any experience you have with root cause analysis. Highlighting this ability will align well with the responsibilities of the Intermediary Oversight Analyst position.
We think you need these skills to ace Intermediary Oversight Analyst
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly read the job description for the Intermediary Oversight Analyst position. Understand the key responsibilities and required skills, such as root cause analysis and stakeholder management.
Tailor Your CV: Customise your CV to highlight relevant experience and skills that align with the job requirements. Emphasise your attention to detail, conflict handling skills, and any experience in financial services if applicable.
Craft a Compelling Cover Letter: Write a cover letter that showcases your enthusiasm for the role and the company. Mention how your background and skills can contribute to the team, particularly in managing the Broker Monitoring Process and liaising with stakeholders.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for this role.
How to prepare for a job interview at Close Brothers
✨Understand the Role
Make sure you thoroughly understand the responsibilities of an Intermediary Oversight Analyst. Familiarise yourself with the Broker Monitoring Process and the Intermediary of Concern Process, as well as the importance of regulatory compliance in these areas.
✨Showcase Your Analytical Skills
Highlight your root cause analysis skills during the interview. Be prepared to discuss examples from your past experiences where you successfully identified issues and implemented solutions, especially in a financial services context.
✨Prepare for Stakeholder Engagement
Since the role involves liaising with senior stakeholders, practice how you would handle difficult conversations. Think of scenarios where you had to provide constructive feedback or educate others on conduct risk, and be ready to share these experiences.
✨Demonstrate Attention to Detail
Attention to detail is crucial for this position. Bring examples of how your meticulous nature has positively impacted your previous work, whether through accurate reporting or effective management of complex processes.
