Junior Compliance Monitoring Analyst

at  Close Brothers Group

OVERALL SUMMARY

To assist in the monitoring activities of the team, as well as providing advice to the business on a number of different issues. Providing ad-hoc administration and business support.

REQUIRED SKILLS AND KNOWLEDGE

• Strong academic background educated to A-Level (or equivalent) and upwards
• Demonstrable interest and passion to build a career in Compliance within Financial Services
• Confident and independent self-starter willing to take ownership of issues and drive to resolution
• Collaborative worker able to pursue team goals and both seek and provide support as required
• Strong work ethic with a commitment to continuous personal development
• Excellent organisational and time management capabilities, able to manage multiple tasks and tight deadlines under pressure
• Strong and proven problem solving and reporting skills
• Attention to detail and able to learn how to interpret regulations and apply them
• Strong communication and interpersonal skills
  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.
  Benefits

Salary - competitive

• Discretionary annual bonus & annual pay review
• Work Abroad Policy for up to 15 days per year
• 25 days holiday plus bank holidays and additional well-being day
• Option to purchase an additional 5 days holiday per year
• Flexible working options available, including hybrid working
• Pension scheme up to 10% employer contribution
• Sharesave scheme
• Income Protection & Life insurance (4 x salary core level of cover)
• Private health care via BUPA
• Employee Assistance Programme
• Discounted Gym Membership
• Variety of travel to work schemes

Company benefits are provided on completion of either six months service, or a successful probation period whichever is sooner.
Entitlement outlined above is in respect of full-time entitlement, and will be provided to part-time workers on a prorate basis in accordance with the relevant scheme rules.
All benefits are subject to rules of the scheme and associated provider. The Company in its sole and absolute discretion reserves the right to discontinue, vary or amend any of the aforementioned benefits.

KEY RESPONSIBILITIES

• Assisting with the management and delivery of all aspects of the Compliance Monitoring Plan
• Conducting thorough Compliance Monitoring reviews, covering a range of activities, across the Wins and WBS business platforms, to ensure compliance with all applicable regulations and internal standards
• Identifying and analysing potential risks to the firm and preparing written reports for the Head of Compliance and relevant business stakeholders, including details of findings and agreed remedial actions
• Monitor the progress and completion of remedial actions as a result of Compliance Monitoring review findings
• Prepare management information for senior management and the Risk and Compliance Committee
• Providing general Compliance advice to business stakeholders where required
• Ad-hoc duties as required