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Intermediary Oversight Analyst
3 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 Close Brothers Retail Team where you will support 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.
Working as part of the Governance team our ideal team member will have previous experience in effective root cause analysis skills with excellent attention to detail.
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
Risk & Compliance
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.
Effective root cause analysis skills
Strong attention to detail
Good knowledge of management information practices.
Ability to plan and organise own workloads
Ability to handle difficult conversations in a face to face environment
Conflict handling skills and ability to provide positive but constructive feedback
Competent Microsoft Excel and Word skills
IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE/ARE:
Experience in Financial Services
Experienced 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 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, wealth management services and securities trading. At Close Brothers we provide financial support and advice to small businesses and individuals in the UK. Our purpose is to help the people and businesses of Britain thrive over the long term.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
