Intermediary Oversight Analyst
Intermediary Oversight Analyst
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Job Description
OVERALL SUMMARY
At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you dont 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 theClose Brothers RetailDivisionwhere 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 involvessupporting the management and administration of the Broker Monitoring Process in Premium Financeand 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.
This opportunity can be based in either our Doncaster or Wimbledon office.
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 usingMicrosoft Excel and Word skills
IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE:
- Experience in Financial Services
- Experiencewith 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 longterm 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.
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 3000 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: find out more about life at Close Brothers:
find out more about our benefits:
find out more about our commitment to creating an inclusive environment:
Our Responsibility Diversity and inclusion Close Brothers Group
#LIAB1 #LIhybrid
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 longterm 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 facetoface services to enable strong longterm 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
Documents
Required Experience:
IC
Employment Type
Unclear
