Compliance Officer

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.

The Compliance Officer role 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.

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. 

RESPONSIBILITIES

• 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.
• The governance framework for Compliance Policies, Standards, Procedures and Mandatory Training, requiring liaison with external and internal parties for content, branding, content accuracy, refinement, and delivery.
• Provision of advice on regulatory requirements relating to the Senior Manager and Certified Regime (SMCR). Completion of notifications relating to the SMCR regime and liaison with other areas such as Human Resources in all activities associated with the SMCR regime.

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.

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.
• Extensive knowledge and experience of SMCR requirements.

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 or request a call back (you can find our details via the 'Apply' button).

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.