Job Description

** Please note, this is a Retail role **

OVERALL SUMMARY

At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don\xe2\x80\x99t 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.

An exciting opportunity has arisen within Close Brothers Retail Division for a Senior Governance Officer to support the business to deliver on our regulatory and customer service obligations.

The role will involve supporting the Conduct Risk Framework for the Retail Division, leading the production of Conduct Risk management information, papers / updates, and reports for committees, and assisting with the continued enhancements to the Division in line with Consumer Duty Regulations.

This role is a dynamic and may evolve over time, requiring adaptability and a proactive approach to stay up with any regulatory changes introduced by governing bodies such as the FCA and other relevant regulators.

RESPONSIBILITIES

To provide leadership and direction to the team to ensure appropriate training and career development.

Conduct Risk

• Development of risk analysis, insight, and reporting around Conduct Risk areas within both CBMF and CBPF, to support effective conduct risk management.
• Support the production the Conduct Risk MI for both CBMF and CBPF, ensuring items are collated and reviewed ahead of circulation to the relevant stakeholders
• Assist in the development and timely production of meaningful management information and reporting for relevant Forums and Committees

Consumer Duty

• Ensure all items descoped from the Consumer Duty Programme are addressed by both business within agreed timeframe, acting at the business coordinator for all activities including

• Liaising with the Retail Documentation Manager to ensure all customer facing letters are amended to align with the tone of voice agreed by the businesses
• Ensure all documents where harms have been identified are addressed by the businesses
• Outstanding reports or reviews are completed by the relevant stakeholders, escalating any concerns to the Governance and Rik Manager and Senior Governance and Risk Manager where applicable
• Support the continued enhancements across the business, from a 1st Line Risk Management perspective, to ensure customer outcomes are considered for all new projects and products

People

• Coach, mentor, and develop staff, including overseeing new employee onboarding and providing career development planning and opportunities
• Provide oversight and direction to employees in accordance with the firm\'s policies, procedures, standards and SLAs.
• Hold regular one-to-ones with direct reports ensuring that feedback is provided in a constructive way whilst working with the employee to facilitate personal development
• Ensure that an effective performance review is operated in line with department guidelines, including setting objectives, personal development planning and performance standards with all direct reports.
• Develop a culture of performance management, improvement and appraisal as a foundation for excellent organisational performance
• Manage all team HR issues including monitoring absenteeism, and managing any capability and disciplinary issues
• Ensure that team members complete online training when required and are kept abreast of any internal communications.
• 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.

Developing Our People: as a line manager, you will be responsible for inspiring and motivating your team, as well as developing performance through coaching. You will encourage your team to take responsibility for their own personal development and provide support through regular feedback.

WE WOULD LOVE TO HEAR FROM YOU IF:

• Knowledge of non-financial risk management industry practices.
• Experience of risk management context, specifically conduct risk and financial services risk, and the wider regulatory context.
• Good knowledge of management information practices.
• Ability to plan and organise own workloads.
• Ability to handle difficult conversations in a face-to-face environment.
• Conflict handling skills and ability to provide positive but constructive feedback.
• Competent Microsoft Excel and Word skills.

IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU:

• Experience in Financial Services.
• Experienced with managing and influencing senior managers.
• Consumer Duty experience in financial services.
• Development of effective management information.
• Knowledge of regulatory environment.

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

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, wealth management services and securities trading. At Close Brothers we provide financial support and advice to small businesses and individuals in the UK. Our purpose is to help the people and businesses of Britain thrive over the long term.

To find out more about Close Brothers, please visit our careers page:

To find out more about life at Close Brothers:

To find out more about our benefits:

To find out more about our commitment to creating an inclusive environment:

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Close Brothers Group