Compliance Analyst Surveillance

Were recruiting for a Compliance Analyst to join us. 

In this role you will work as part of the Compliance Surveillance team providing essential support to the L&G Asset Management regulated entities. This role involves contributing to the Compliance Surveillance Annual Plan through continuous testing trend analysis test development project support and report production.

The Compliance Surveillance Annual Plan utilises data analysis techniques of order transaction and communication data to provide riskbased oversight for market abuse and best . Identified risks are punctually escalated/ investigated to provide strong business outcomes.

You will keep up to date with markets emerging risks and relevant regulatory matters.

What youll be doing:

• Assisting in creating and implementing a comprehensive riskbased Compliance Surveillance Programme that meets all relevant regulatory requirements
• Managing oversight of allocated business areas/activities and ensure closure of alerts
• Identifying regulatory issues and risks conduct effective surveillance tests and analysis ensuring timely resolution of adverse findings
• Producing clear and concise management information for various groups committees and team meetings
• Maintaining uptodate knowledge of relevant rules and legislation analyse new regulations for business impact
• Supporting L&G Asset Management in maintaining an effective regulatory control environment by recording analysing and addressing identified risks
• Engaging and collaborating with other Compliance and Risk team members through training and information exchange
• Ensuring all activities align with the principle of Treating Customers Fairly (TCF)

Qualifications :

Who were looking for:

• Understanding of asset classes and uses within asset management
• Demonstrable exposure to Data logic e.g. SQL Python Tableau Bloomberg Best Ex/TCA systems
• Good analytical skills and industry awareness including some knowledge of emerging regulation to identify the impact on the business areas and developing strategies
• Ability to work proactively with business areas to meet all new regulatory requirements
• Ability to demonstrate a proactive approach while contributing to the development and implementation of a comprehensive riskbased compliance monitoring programme for each business area which reflects relevant regulatory requirements impacting the business
• Ability to demonstrate curiosity and ability to challenge positively whilst undertaking risk assessments projects reviews and surveillance
• High attention to detail and ability to work effectively both individually and within a team to deliver high quality monitoring reviews on time and ensure mitigating actions are followed up comprehensively and on a timely basis
• Ability to work efficiently with the Compliance Surveillance Team and senior compliance managers to successfully support the Compliance function and Compliance projects

Whatever your role we reward performance and behaviour with a package that looks after all the things that are important to you. Here are some of the benefits we offer:

• The opportunity to participate in our annual performance related bonus plan and valuable share schemes
• Generous pension contribution
• Life assurance
• Healthcare Plan (permanent employees only)
• At least 25 days holiday plus public holidays 26 days after 2 years service. Theres also the option to buy and sell holiday
• Competitive family leave
• Participate in our electric car scheme which offers employees the option to hire a brandnew electric car through tax efficient salary sacrifice (permanent employees only)
• There are the many discounts we offer both for our own products and at a range of high street stores and online
• In 2023 some of our workspaces were redesigned. Our offices are great spaces to connect and collaborate and have your wellbeing at the heart

Additional Information :

Legal & General is a leading financial services group and major global investor named Britains Most Admired Company in 2023 for the second year running. Rated top in our sector and top for inspirational leadership we have a strong heritage and an exciting future.

We aim to build a better society for the long term by investing our customers money in things that make life better for everyone.

If you join us youll be part of a welcoming culture with opportunities to collaborate with people of diverse backgrounds views and experiences. Guided by leaders with integrity who care about your future and wellbeing. Empowered through initiatives which support people to develop their careers and excel.

We strive to be open mindful and inclusive so are always willing to discussing flexible working arrangements and reasonable accommodations for candidates with specific needs.

If youre open to find out more wed love to hear from you.

Remote Work :

No

Employment Type :

Fulltime