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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, private medical, gym discounts, and additional holiday purchase options.
- Why this job: Join a diverse team committed to inclusivity and making a positive social impact.
- Qualifications: Strong analytical skills, attention to detail, and experience with Microsoft Excel and Word required.
- Other info: Open to applicants from all backgrounds; training opportunities available.
The predicted salary is between 28800 - 43200 £ per year.
Job Description
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 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
- experience delivering effective Management Information (MI)
- 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.
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
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
Intermediary Oversight Analyst (Governance) employer: Close Brothers.
Contact Detail:
Close Brothers. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Intermediary Oversight Analyst (Governance)
✨Tip Number 1
Familiarise yourself with the regulatory environment and operational risk frameworks relevant to the financial services sector. This knowledge will not only help you understand the role better but also demonstrate your commitment and preparedness during discussions with stakeholders.
✨Tip Number 2
Practice your conflict handling skills by engaging in role-play scenarios with friends or colleagues. Being able to handle difficult conversations effectively is crucial for this position, and showcasing your ability to provide constructive feedback can set you apart from other candidates.
✨Tip Number 3
Network with professionals in the financial services industry, especially those involved in governance and compliance roles. Attend relevant events or webinars to gain insights and make connections that could be beneficial when applying for the Intermediary Oversight Analyst position.
✨Tip Number 4
Brush up on your Microsoft Excel and Word skills, focusing on data analysis and report generation. Being proficient in these tools will not only help you in the role but also impress hiring managers during your interactions.
We think you need these skills to ace Intermediary Oversight Analyst (Governance)
Some tips for your application 🫡
Tailor Your CV: Make sure to customise your CV to highlight relevant experience and skills that align with the responsibilities of the Intermediary Oversight Analyst role. Focus on your root cause analysis skills, attention to detail, and any experience in financial services.
Craft a Compelling Cover Letter: Write a cover letter that not only outlines your qualifications but also demonstrates your understanding of the regulatory obligations and the importance of monitoring intermediaries. Use specific examples from your past experiences to illustrate your points.
Highlight Relevant Skills: In your application, emphasise your conflict handling skills, ability to manage workloads, and experience with Microsoft Excel and Word. These are key attributes for the role and should be clearly stated.
Show Enthusiasm for Inclusivity: Since Close Brothers values diversity and inclusivity, express your appreciation for these principles in your application. Mention any experiences you have that demonstrate your commitment to creating an inclusive environment.
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 this role.
✨Prepare for Stakeholder Engagement
Since the role involves liaising with senior stakeholders, practice how you would handle difficult conversations and provide constructive feedback. Think of examples from your past experiences where you've successfully managed stakeholder relationships.
✨Showcase Your Analytical Skills
Be ready to discuss your root cause analysis skills and how you've applied them in previous roles. Prepare specific examples that demonstrate your attention to detail and ability to produce effective Management Information (MI).
✨Emphasise Inclusivity and Adaptability
Given Close Brothers' commitment to diversity and inclusion, be prepared to discuss how you can contribute to a positive workplace culture. Highlight any experiences you have that showcase your adaptability and willingness to learn, especially if you don't meet every criterion listed.