Process and Controls Analyst

Job Description

The VacancyOVERALL SUMMARYAt Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you dont tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your workand home life. Join the Close Brothers Motor Finance Team where you will be responsible for oversight and reporting that Complaints Officers are adhering to internal processes, policy and procedures, and meeting regulatory obligations when handling customer complaints andinteractions. Working as part of the Complaints team our ideal team member will have previous experience in general oversight monitoring in a regulated environment with excellent analytical skills. RESPONSIBILITIES

• Ensure all departmental risk and key controls are documented and current
• Facilitate the 6-monthly Risk and Controls Self-Assessment review and track and subsequent corrective action(s) or treatment plan(s)
• Execute timely and on frequency any key controls owned by the role ensuring a clear evidence trail and documenting any remedial actions required by others if incorrect complaint decisions or unfair customer outcomes are reached. Note - role is not requiredto own Action Points, only to track delivery against agreed actions
• Report any breaches identified or matters of significance to relevant stakeholders
• Provide a feed-back and coaching loop to Complaint Officers and Team Leads re: any learning repetitive individual errors and common errors across the wider team
• Version Control and identify any improvements to control instruments such as Call Monitoring Form, E2E Case Review to capture all key points but present in a way so stakeholders can easily access and review from case level to overall position
• Represent and manage internal stakeholders on behalf of the Complaints Team in all matters relating to business key controls, risks and quality control / assurance
• Be accountable for the Complaints Team - Quality Management Framework
• Support any ad-hoc projects and business initiatives as required and appropriate to role
• Work with the Complaints Leadership team to identify any areas for improvement, changes to best-practice and initiatives to drive higher customer experience, reduce operating costs and risks
• Keep FCA regulation knowledge current including industry developments / changes
• Ensure that Governance and Compliance requirements are adhered to and all reporting and reviewing activities required by the Regulatory Bodies are carried out to required standards.

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

• Excellent analytical skills
• Coaching skills
• Attention to detail and commitment to high standards of quality
• Organisation and multi-tasking skills
• Good communication and interpersonal skills at all levels (written and verbal)
• Good IT and software skills
• Team working
• Stakeholder Management
• Good knowledge of FCA DISP rules and the role of FOS
• Previous experience in general oversight monitoring in a regulated environment

IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE/ARE:

• Exposure to senior management and participation in formal meetings
• Preparation of monthly reports
• Complaint handling experience

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 formin an alternative format or would like to discuss the recruitment process with us, please email us at or request a call back. ABOUT USFor 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, wealth management services and securities trading. At Close Brothers we provide financial support and advice to small businesses and individuals in the UK. Our purposeis 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: https://careers To find out more about life at Close Brothers:https://life-close-brothers#374017299-899295541 To find out more about our benefits:https://employee-benefits To find out more about our commitment to creating an inclusive environment:https://inclusion