Senior Compliance Officer - Operations

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 support the Compliance Manager in independently and proactively managing Operational matters, undertaking a wide range of regulatory tasks relating to governance matters, regulatory reporting and operational compliance processes, to allocate, delegate and oversee the many tasks performed by the Compliance Operations team. Working as part of the Compliance team our ideal team member will have previous experience in working independently and cohesively with other team members for the effective delivery of the operational tasks, supervising junior members of the team to design and manage appropriate methodologies and controls to assure quality, efficiency, and accuracy with excellent verbal and written communication skills, attention to detail with experience in liaising with senior management.

RESPONSIBILITIES

• Review and approval of highly confidential and sensitive processes, maintaining accurate records for internal and regulatory purposes, including Personal Account Dealing, Conflicts of Interest, Gifts and Hospitality, including those for the most senior executives and external audit requests.
• Reporting and cyclical submissions to regulatory bodies, including liaison with other areas and collation of submissions from relevant parties within the Group.
• Accurate and timely coordination of the Bank’s RCSA, EUC Program, Business Continuity Planning and/or assessment of its risks and controls for Group Compliance.
• Support with the provision of data/ MI for and/or the effective execution, planning, management, and reporting associated with senior committees and working groups: e.g., GRCC, NRCC and SOC, working with relevant senior management and colleagues.
• Work with external suppliers and internal technical experts and HR, to ensure effective, efficient, and impactful Mandatory Training modules.
• Work with the Compliance Officers and Compliance Analysts (and supervise as appropriate) in Central Compliance and impacted operational areas, including HR, to ensure effective and efficient allocation of regulatory activity or implementation actions.
• Manage and develop relationships with subject matter experts and colleagues of all levels across.
• Ensure that reporting, operational and reviewing activities required by regulators are carried out to the standards required internally and externally.
• Proactively identify risks and to propose, design and execute effective controls and processes to mitigate as appropriate, within the team or by other teams.
• As a line manager, you will be responsible for inspiring and motivating your team, as well as developing performance through coaching. You will encourage your team to take responsibility for their own personal development and provide support through regular feedback.

WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:

• Excellent organisational and planning skills and aptitude for effective management of multiple workstreams.
• Demonstrated skills and experience to operate with minimal supervision, prioritising and managing own workload, with aptitudes to evolve the role and the effectiveness of a Compliance function.
• Strong interpretative skills within policy content with excellent attention to detail, and ability to summarise at key material level for implementation.
• Skills in the application of rules, and development of operable solutions.
• Good technical knowledge of a wide range of regulatory requirements.
• Practical knowledge of highly relevant areas of Compliance regulation and processes, as they apply internally to colleagues, e.g., Conflicts of Interest, Gifts and Hospitality, P.A Dealing, Financial Promotions, SMCR etc.
• A strong background in Central Compliance and/or Compliance advisory roles.

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

• Relevant professional qualifications (e.g. Qualified Lawyer, Accountant Banking and or financial regulation would be beneficial, but are not essential).

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.

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 and securities trading. We employ approximately 3,000 people, principally in the United Kingdom and Ireland. Close Brothers Group plc is listed on the London Stock Exchange and is a constituent of the FTSE 250.