Intermediary Oversight Analyst

CLOSE BROTHERS; Greater London; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A leading UK merchant banking group seeks a candidate to join their Premium Finance Team in London. This role focuses on ensuring regulatory compliance and includes tasks like broker oversight and data analysis, requiring excellent attention to detail and strong relationship-building skills. The ideal candidate will have experience in managing relationships, communication, and documentation effectively. Flexible working options are available, with a commitment to inclusivity and diversity in the recruitment process.

Benefits

Private medical

Discounted health checks

Stakeholder pension contribution

Cycle to work scheme

Gym discounts

Purchase additional holiday

Qualifications

• Ability to handle difficult conversations in a face-to-face environment.
• Ability to handle stressful situations in a calm professional manner.
• Organizational skills are paramount in managing multiple tasks.

Responsibilities

• Administer broker oversight audit including risk assessments.
• Administer the Brokers of Concern process and investigations.
• Effective documentation and management of follow-up actions.
• Produce data analysis for senior stakeholders on brokers.
• Support the Senior Analyst in coordinating high-risk concerns.
• Prepare training documents and deliver training to the business.
• Engage regularly with key business functions to ensure consistency.

Skills

Strong relationship building and management skills

Strong communication skills

Effective root cause analysis skills

Strong attention to detail

Ability to manage own diary and time

Conflict handling skills

Competent in Microsoft Excel, Word and PowerPoint

Job description

The Vacancy

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 Premium Finance Team where you will support the delivery of our regulatory obligations to monitor the intermediaries each business has a commercial relationship with, to ensure that best practice standards are followed, and that customer harm is prevented. Working as part of the Intermediary Oversight team our ideal team member will have previous experience in building strong relationships with excellent attention to detail.

RESPONSIBILITIES

• Administration of the broker oversight audit including risk assessments to select intermediaries for review, liaising with brokers and sales, reviewing and assessing questionnaire responses and evidence received from intermediaries, determining remediation actions and completing the broker questionnaire documentation and trackers.
• Administration of the Brokers of Concern process including completing investigations to determine the level of risk to CBPF and appropriate next actions whilst also engaging relevant stakeholders to assist.
• Effective documentation and management of follow up of actions through to completion.
• Producing data analysis and management information for senior stakeholders relating to brokers of concern and broker questionnaires.
• Producing reports and capturing minutes for the Broker Concerns Forum and presenting papers where appropriate.
• Supporting the Senior Analyst in coordinating working groups for high‑risk concerns including taking minutes and distributing actions.
• Supporting the Senior Analyst in preparing training documents and delivering training to the wider business.
• Regular engagement with other key business functions such as fraud, credit controls, sales broker management, contract management and operations to ensure collaboration and consistency. Build and maintain strong relationships.
• Ensuring all documentation and records are up to date and filed correctly and all trackers are up to date and maintained.
• Ensure that all Governance and Compliance requirements are adhered to and all reporting and reviewing activities required by the Regulatory Bodies are carried out to the standards required.

WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE/ARE:

• Strong relationship building and management skills
• Strong communication skills, both written and verbal with the ability to persuade at all levels
• Effective root cause analysis skills
• Strong attention to detail and organisation skills
• Ability to manage own diary and time whilst prioritising workloads
• Ability to handle difficult conversations in a face‑to‑face environment
• Ability to handle stressful situations in a calm professional manner.
• Conflict handling skills and ability to provide positive but constructive feedback
• Competent Microsoft Excel, Word and PowerPoint skills

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

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 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.

To find out more about Close Brothers, please visit our careers page: https://www.closebrothers.com/careers

To find out more about life at Close Brothers: https://www.closebrothers.com/life-close-brothers#374017299-899295541

To find out more about our benefits: https://www.closebrothers.com/employee-benefits

To find out more about our commitment to creating an inclusive environment: Our Responsibility - Diversity and inclusion … Close Brothers Group

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