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- Tasks: Conduct compliance monitoring reviews and evaluate key controls across the business.
- Company: Join Close Brothers, a leading UK merchant banking group with a diverse and inclusive culture.
- Benefits: Enjoy competitive salary, benefits, hybrid working, and opportunities for professional growth.
- Why this job: Make a real impact by ensuring regulatory compliance and improving risk management processes.
- Qualifications: Experience in compliance or risk, with strong analytical and stakeholder engagement skills.
- Other info: Flexible work options available; we celebrate diversity and encourage all backgrounds to apply.
The predicted salary is between 36000 - 60000 £ per year.
Overview
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 effective delivery of the Group’s risk-based compliance monitoring plan by conducting monitoring and assurance reviews across key regulatory and business risk areas. Working as part of the Compliance team our ideal team member will have previous experience in ensuring the regulatory obligations are met, risks are managed effectively and maintaining a strong control environment with excellent analytical and critical thinking skills.
Responsibilities
- Deliver monitoring and assurance reviews aligned with our compliance plan and methodology
- Evaluate how well key controls are designed and working across the business
- Spot risks, control gaps, and opportunities to improve how we do things
- Write clear, insightful reports with practical recommendations
- Collaborate with teams to validate findings, agree actions, and track progress
- Support thematic and ad-hoc reviews in response to emerging risks
- Help shape future monitoring priorities
- Assist in keeping our monitoring framework sharp and up to date
Requirements
- Experience in compliance, risk, internal audit, or financial services assurance
- Solid understanding of UK regulations (FCA, PRA) and relevant rulebooks
- Sharp attention to detail and the ability to juggle multiple priorities
- A collaborative mindset and great stakeholder engagement skills
Nice to have
- Experience reviewing customer outcomes in regulated environments
- Hands-on involvement in customer remediation projects
- An interest in using AI to enhance risk management and data analysis
- Familiarity with compliance tools or software
- A passion for improving how monitoring and assurance processes work
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 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.
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.
The Benefits
- Private medical
- Discounted health checks
- Stakeholder pension contribution
- Cycle to work scheme
- Gym discounts
- Purchase additional holiday
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Compliance Monitoring Officer (12 months FTC) employer: Close Brothers
Contact Detail:
Close Brothers Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer (12 months FTC)
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, especially those at Close Brothers. A friendly chat can open doors and give you insights that might just land you an interview.
✨Tip Number 2
Prepare for the interview by brushing up on your knowledge of UK regulations and compliance tools. Show us you’re not just a candidate, but someone who’s genuinely interested in making a difference in the compliance landscape.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After your interview, drop us a quick thank-you email. It shows your enthusiasm and keeps you fresh in our minds.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re keen on joining our team at Close Brothers.
We think you need these skills to ace Compliance Monitoring Officer (12 months FTC)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experiences that align with the Compliance Monitoring Officer role. Highlight any relevant experience in compliance, risk, or internal audit to catch our eye!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for our team. Be genuine and let your personality come through.
Showcase Your Analytical Skills: Since this role requires sharp analytical thinking, include examples of how you've successfully identified risks or improved processes in previous roles. We love seeing those problem-solving skills in action!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets into the right hands. Plus, it shows us you’re keen on joining our Close Brothers family!
How to prepare for a job interview at Close Brothers
✨Know Your Regulations
Make sure you brush up on your knowledge of UK regulations, especially the FCA and PRA. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Analytical Skills
Prepare examples from your past experiences where you've identified risks or control gaps. Be ready to explain how you approached these situations and what recommendations you made, as this will highlight your analytical and critical thinking abilities.
✨Collaborative Mindset is Key
Since this role involves working closely with various teams, think of instances where you've successfully collaborated with others. Share how you validated findings and agreed on actions, as this will demonstrate your stakeholder engagement skills.
✨Be Ready for Practical Scenarios
Expect to be asked about how you would handle specific compliance monitoring scenarios. Prepare by thinking through potential challenges and your approach to resolving them, showcasing your proactive mindset and passion for improving processes.
