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4 months ago
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 Compliance Team where you will lead implementation and embedding of the compliance Conduct strategy and support effective change management for relevant regulatory matters.
The successful candidate will provide technical support, training and guidance on regulatory initiatives in relation to conduct.
RESPONSIBILITIES
Support with embedding and evolving the conduct risk framework within businesses and facilitate regular production and review of associated management information.
Promote appropriate cultural and behavioural attributes to ensure that customers experience good customer outcomes, and that foreseeable harm is identified and mitigated with appropriate remedial activity.
Support the Head of Central Compliance by providing input into all training, policies, and communication as they relate to conduct risk, co-ordinating the conduct training programme to develop and enhance understanding of conduct.
Provide second line challenge and support for business units to enable the identification and management of new and changing conduct risks.
This includes periodic and ad hoc testing of adherence and effectiveness of compliance processes, Board level papers and responses to the regulator.
Developing Our People:
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:
Good awareness of the FCA and PRA's expectations of firms in relation to Conduct Risk
Regulatory knowledge and experience of FCA rules and practical application
Good understanding of the principles of risk management, especially in relation to regulatory and customer-focused risks.
Experience of the management of conduct and regulatory risks, including the design and implementation of frameworks.
A proven ability to apply sound judgement to support and implement high quality, timely decisions.
Been educated to degree level or equivalent.
Solid Compliance experience in a financial services role or from a consultancy background within a financial services practice.
IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE:
Relevant professional qualification (e.g., CISI Global Financial Compliance qualification; IRM Certificate in Financial Services Risk Management)
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.
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.
To find out more about Close Brothers, please visit our careers page:
To find out more about life at Close
To find out more about our
To find out more about our commitment to creating an inclusive environment:Our Responsibility - Diversity and inclusion ¦ Close Brothers Group
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