Intermediary Oversight Analyst

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.,

• 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
  
  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
  
  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: To find out more about life at Close Brothers: To find out more about our benefits: To find out more about our commitment to creating an inclusive environment: 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.

Private medical Discounted health checks Stakeholder pension contribution Cycle to work scheme Gym discounts Purchase additional holiday