Compliance Officer - (18 months 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 Close Brothers Central Compliance Team where you will proactively 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. As part of a small and highly collaborative team, the role holder will be able to work independently and cohesively with other team members to ensure the best use of skills, knowledge sharing and effective delivery.
The role requires a strong high-level understanding of the regulatory environment as it applies to banking across a variety of Compliance related matters. The role holder will be able to work independently and with other members of the team to design and manage appropriate methodologies and controls to assure quality, efficiency, and accuracy.

Central to the role are planning, management, and accurate execution in respect of any of the below key activities, shared across the team:

• Reporting and cyclical submissions to regulatory bodies, including liaison with other areas and collation of submissions from relevant parties within the Group.
• Accurate and timely regulatory submissions, and periodic coordination of the Bank’s Group Compliance RCSA and/or assessment of its risks and controls.

IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE/ARE:

• Practical experience in any of the following areas: Operational Risk, Banking, Asset Management, Law, Audit.
• Knowledge and experience of SMCR requirements.
• Demonstrated skills and experience to operate with minimal supervision, and to evolve the role and the effectiveness of a Compliance function are key to this role; however, professional qualifications in the field of Banking and/or Financial regulation would be beneficial, but not essential. There will be opportunities for supporting continued educational development in-role.
  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

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: https://www.closebrothers.com/careers

Central to the role are planning, management, and accurate execution in respect of any of the below key activities, shared across the team:

• Reporting and cyclical submissions to regulatory bodies, including liaison with other areas and collation of submissions from relevant parties within the Group.
• Accurate and timely regulatory submissions, and periodic coordination of the Bank’s Group Compliance RCSA and/or assessment of its risks and controls