Intermediary Oversight 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

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 FinanceTeam 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 teamour 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 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.