Compliance Officer

3 weeks ago

Doncaster, United Kingdom Close Brothers Group Full time

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 manage a wide range of regulatory risks, governance, processes, and controls, coordinating with all staff levels, including senior management and deep subject matter experts for appropriate execution.  

The successful candidate will have strong high-level understanding of the regulatory environment as it applies to banking, and ideally knowledge relating to investments and detailed knowledge of certain areas such as Third Party and Material Outsourcing risk management.

RESPONSIBILITIES

People

  • Work with external suppliers and internal technical experts and HR, to ensure effective, efficient, and impactful Mandatory Training modules are maintained in areas such as SMCR.
  • Work with the Compliance officers and senior analysts in Compliance and impacted operational areas, including HR, to ensure effective and efficient allocation of regulatory activity or implementation actions.
  • Manage and develop relationships with subject matter experts and colleagues of all levels across the group, to ensure that regulatory submissions rules are correctly interpreted, and executed.
  • The role holder will engage with Operational Risk, Technology, and other teams to ensure appropriate and effective use of tools and methodologies in all aspects of execution
  • Working across all lines of defence to ensure that a cohesive approach is maintained to identification and application of regulatory risk management. 

Processes-

  • Reporting and cyclical submissions to regulatory bodies, with accurate and prompt correspondence with business colleagues for data, arranging relevant expert reviews.
  • Manage or support the review and completion of the Risk and Control Self-Assessment (RCSA) for Group Compliance.
  • Identify relevant regulatory and operational risks, and controls to support the evolution of Compliance control environment.
  • Support MI for and/or the effective execution, planning, management, minutes, and reporting associated with senior committees and working groups: e.g., GRCC, and SOC, work with relevant senior management and colleagues.
  • Review and approval of employee Conflicts of Interest, Gifts and Hospitality and PA Dealing requests, submissions, and enquiries, working with Subject Matter Experts a needed.
  • Contribute to specialist projects and provide challenge or requirements as a representative for the team at second line of defence Fora as appropriate to execute relevant second line of defence duties, according to the Enterprise Risk Management Framework.

 Conduct, Risk and Compliance-

  • Ensure that reporting, operational and reviewing activities required by regulators are carried out to the standards required internally and externally.

WE WOULD LOVE TO HEAR FROM YOU IF:

  • A strong background in Central Compliance and/or Compliance advisory roles.
  • Good technical knowledge of a wide range of regulatory requirements.
  • Knowledge and experience of Third Party Risk Matters.
  • Knowledge and experience of SMCR requirements.
  • Excellent organisational and planning skills and aptitude for effective management of multiple workstreams.
  • Strong interpretative skills within policy content with excellent attention to detail, and ability to summarise at key material level for implementation.  
  • Skills in the application of rules, and development of operable solutions.
  • Practical knowledge of highly relevant areas of Compliance regulation and processes, as they apply internally to colleagues, e.g., Conflicts of Interest, Gifts and Hospitality, P.A Dealing, Financial Promotions, Outsourcing etc.

IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU:

  • Practical experience in any of the following areas: Banking, Investment business, Audit, Law, and Operational Risk.

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.

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.

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