Compliance Advisory Manager - 14 month FTC

at  Close Brothers Group

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. This includes implementation, maintenance and, support to the business for adherence to the conduct risk framework.
The successful candidate will provide technical support, training and guidance on regulatory initiatives in relation to conduct.

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 recruit.ssc@closebrothers.com 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.
To find out more about Close Brothers, please visit our careers page: https://www.closebrothers.com/careers

• 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.
• Interpreting key regulatory rules and assessing the impact to the conduct risk framework implementing appropriate change.
• 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.
• Coordinate and draft a range of written work and reporting including compliance policy and standard management. 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.