Compliance Assurance Manager

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 and promote inclusivity. Vacancies are available on a part-time, job-share or full-time basis because we know the best person for the job isn’t always available full-time. Our aim is to facilitate requests wherever possible and managers will consider requests on an individual basis.

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 and promote inclusivity. Vacancies are available on a part-time, job-share or full-time basis because we know the best person for the job isn’t always available full-time. Our aim is to facilitate requests wherever possible and managers will consider requests on an individual basis. Join Close Brothers Compliance Team where you will lead the design and delivery of compliance monitoring reviews with an agreed, risk-based programme and dynamic pipeline. The role is accountable for assessing customer outcomes, the design and operating effectiveness of controls that underpin regulatory compliance and policy adherence. Managers scope and execute reviews end-to-end, and engage stakeholders to ensure delivery quality and consistency. They produce high-impact customer outcome reporting that informs governance forums, supports control enhancement, and enables confident regulatory engagement. Managers also contribute to thematic insights and the continuous refinement of the monitoring programme. The job holder will need to be flexible to travel throughout the UK, Channel Islands and Republic of Ireland, to visit all Banking Division businesses and subsidiaries as and when required.

Responsibilities

• Develop, implement, and continuously improve risk-based monitoring and assurance programmes aligned with regulatory and organisational objectives.
• Provide strategic leadership and direction, translating strategy into actionable plans.
• Carry out planning, monitoring reviews, thematic assessments, and deep dives in accordance with Plan; minimum of 4 to 5 reviews per year dependent on the nature of the review
• Utilisation of tools such as Tableau and Power BI to provide targeted management information which may be used to identify areas of focus
• Produce and present clear, insightful and customer outcome reports and recommendations to senior management, boards, and committees.
• Provide oversight and constructive challenge, to support corrective action(s) and ongoing improvement
• Build and maintain effective relationships with internal and external stakeholders, including regulatory bodies (as appropriate)

WE WOULD LOVE TO HEAR FROM YOU IF:

• Experience in compliance, risk management, internal audit or financial services monitoring and assurance within Financial Services
• Good knowledge of UK regulatory environment (FCA, PRA) and relevant rulebooks to include but not limited to PRIN, SYSC, COCON, CONC, ICOBS, DISP and SUP to understand how regulation translates into customer journeys, operational processes, controls and outcomes.
• Ability to be able to cover broad subjects matter expertise to include areas such as conduct, credit and financial crime.
• Experience in customer outcome assessments to ensure the good customers outcomes are delivered consistently
• Ability to use a dynamic, risk-based approach to prioritise monitoring and assurance against areas of greatest regulatory risk and potential customer harm.
• Strong analytical skills with experience of tools such as Tableau and Power BI
• Experience of using Compliance tools or software (e.g. metric-stream)
• Excellent written and verbal communication, with the ability to present findings clearly to senior management

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

• knowledge of utilising AI for Risk Management and Data Analysis principles.
• Contributing to continuous improvement of monitoring and assurance methodologies and processes.
• Familiarisation of FCA’s Product Sales Data reporting

We are committed to providing an inclusive and accessible recruitment process. We recognise that candidates may have specific needs that require adjustments to ensure they have a fair and equal opportunity to demonstrate their skills and abilities. Candidates who require the job description or application form in an alternative format, or any other adjustments, are encouraged to email us at recruit.ssc@closebrothers.com or request a call back.

About Us

For roles offering hybrid working: 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.

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

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