Intermediary Oversight Analyst

Close Brothers Premium Finance; Wimbledon; Hybrid; GBP 30,000 - 45,000; Full time

Job summary

A leading UK merchant banking group is seeking a candidate for a role in their Intermediary Oversight team. The successful applicant will monitor intermediaries to ensure compliance with regulatory obligations. Responsibilities include conducting audits, managing broker relationships, and producing reports. Strong communication skills and attention to detail are essential. This position offers flexible hybrid working options, contributing to a supportive work-life balance.

Qualifications

• Ability to manage own diary and time while prioritizing workloads.
• Ability to handle difficult conversations in a face-to-face environment.
• Ability to handle stressful situations in a calm professional manner.

Responsibilities

• Administer broker oversight audit including risk assessments.
• Complete investigations for Brokers of Concern process.
• Manage follow-up actions documentation to completion.
• Produce data analysis for senior stakeholders.
• Capture minutes and reports for Broker Concerns Forum.
• Coordinate working groups for high-risk concerns.
• Prepare training documents and deliver training.
• Engage with key business functions to ensure collaboration.
• Maintain strong relationships with stakeholders.
• Adhere to Governance and Compliance requirements.

Skills

Strong relationship building and management skills

Strong communication skills

Effective root cause analysis skills

Strong attention to detail

Organizational skills

Microsoft Excel skills

Microsoft Word skills

Microsoft PowerPoint skills

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 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

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