Broker Oversight & Compliance Analyst

Close Brothers Group; Wimbledon; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading UK merchant banking group is seeking a detail-oriented individual to join their Intermediary Oversight team. The role involves managing broker audits, fostering relationships, and ensuring compliance with regulatory obligations. Ideal candidates will showcase strong relationship management, communication skills, and a keen attention to detail. Successful applicants will enjoy flexible hybrid working arrangements to balance work-life priorities, contributing to a diverse and inclusive workplace.

Qualifications

• Strong relationship building and management skills.
• Ability to handle difficult conversations in a face-to-face environment.
• Competent in Microsoft applications including Excel, Word, and PowerPoint.

Responsibilities

• Administer broker oversight audits including risk assessments.
• Administer the Brokers of Concern process and engage stakeholders.
• Produce data analysis and management reports for senior stakeholders.

Skills

Relationship building and management

Communication skills

Root cause analysis

Attention to detail

Time management

Conflict handling

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Job description

A leading UK merchant banking group is seeking a detail-oriented individual to join their Intermediary Oversight team. The role involves managing broker audits, fostering relationships, and ensuring compliance with regulatory obligations. Ideal candidates will showcase strong relationship management, communication skills, and a keen attention to detail. Successful applicants will enjoy flexible hybrid working arrangements to balance work-life priorities, contributing to a diverse and inclusive workplace.