Compliance Monitoring Officer (12 months FTC)

CLOSE BROTHERS; City Of London; On-site; GBP 45,000 - 60,000; Full time

Job summary

A leading UK merchant banking group is seeking a Compliance Team member to conduct monitoring and assurance reviews. The ideal candidate will have compliance experience, a solid understanding of UK regulations, and excellent analytical skills. This role offers a hybrid working model and includes benefits such as private medical and a stakeholder pension contribution.

Benefits

Private medical

Discounted health checks

Stakeholder pension contribution

Cycle to work scheme

Gym discounts

Purchase additional holiday

Qualifications

• Experience in compliance, risk, internal audit, or financial services assurance.
• Solid understanding of UK regulations (FCA, PRA) and relevant rulebooks.
• Ability to juggle multiple priorities.

Responsibilities

• Deliver monitoring and assurance reviews aligned with our compliance plan.
• Evaluate how well key controls are designed and working across the business.
• Spot risks, control gaps, and opportunities to improve processes.

Skills

Compliance experience

Analytical skills

Stakeholder engagement

Attention to detail

Tools

Compliance tools

Job description

Overview

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 support the effective delivery of the Group’s risk-based compliance monitoring plan by conducting monitoring and assurance reviews across key regulatory and business risk areas. Working as part of the Compliance team our ideal team member will have previous experience in ensuring the regulatory obligations are met, risks are managed effectively and maintaining a strong control environment with excellent analytical and critical thinking skills.

Responsibilities

• Deliver monitoring and assurance reviews aligned with our compliance plan and methodology
• Evaluate how well key controls are designed and working across the business
• Spot risks, control gaps, and opportunities to improve how we do things
• Write clear, insightful reports with practical recommendations
• Collaborate with teams to validate findings, agree actions, and track progress
• Support thematic and ad-hoc reviews in response to emerging risks
• Help shape future monitoring priorities
• Assist in keeping our monitoring framework sharp and up to date

Requirements

• Experience in compliance, risk, internal audit, or financial services assurance
• Solid understanding of UK regulations (FCA, PRA) and relevant rulebooks
• Sharp attention to detail and the ability to juggle multiple priorities
• A collaborative mindset and great stakeholder engagement skills

Nice to have

• Experience reviewing customer outcomes in regulated environments
• Hands-on involvement in customer remediation projects
• An interest in using AI to enhance risk management and data analysis
• Familiarity with compliance tools or software
• A passion for improving how monitoring and assurance processes work

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 [e-mail] 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 and securities trading. We employ approximately 3,000 people, principally in the United Kingdom and Ireland. Close Brothers Group plc is listed on the London Stock Exchange and is a constituent of the FTSE 250.

The Company

At Close Brothers Group, we are all connected by our mission to be the best place in the UK for wealth professionals and their clients. We believe that everyone should think ahead, have a financial plan and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.

We are a team of about 900 people based in 15 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.

Sustainability is fundamental to our purpose and we have a responsibility to help address the social, economic and environmental challenges facing our business, colleagues and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people.

Our vision is to develop an open and inclusive company that ensures everyone is valued, respected and included, so that in years to come our business will represent a diverse and inclusive workforce from the top down.

We look to recruit individuals from all different backgrounds. If this job is of interest to you but you do not meet every criteria then we encourage you still to apply as we are open to providing training opportunities.

The Benefits

• Private medical
• Discounted health checks
• Stakeholder pension contribution
• Cycle to work scheme
• Gym discounts
• Purchase additional holiday