Compliance Monitoring Analyst

Were recruiting for a Compliance Monitoring Analyst to effectively contribute towards the formation of a riskbased monitoring plan and deliver accurate reliable and timely monitoring reviews of high quality with a focus on conduct risk.

What youll be doing:

• Contributing to the oversight of first line business activity by conducting outcome reviews independently or with the Monitoring Manager for more complex subjects. This will include liaison with the business performing testing and drafting reports
• Having an awareness of regulatory priorities industry developments and divisional business strategies and how these may influence the monitoring plan. Contributing to planning activities incorporating these priorities into the risk assessment
• Helping maintain effective relationships with operational staff to support the delivery of practical solutions to problems or the implementation of improved systems processes or controls. Building and maintaining good working relationships with other second line colleagues
• Responsible for the endtoend delivery of outcome based monitoring reviews including following up with the business to ensure actions have been completed successfully and to the required standard.
• Maintaining uptodate knowledge of conduct risk developments and participate in knowledge sharing across the team
• Demonstrating proactiveness and insight in utilising technology/analytics for Monitoring work and guide the work from design to conclusion with help from a technical expert
•  Ensuring that the appropriate process systems and controls are in place and that the risks and issues are identified and escalated to ensure that customers are treated fairly in line with Legal & Generals Customer Conduct Risk Policy

Qualifications :

Who were looking for:

• Professional Financial qualification advantageous
• Previous experience of working with L&G products as part of either first or second line teams.
• An understanding of the Consumer Duty and the importance of delivering good outcomes to customers
• An awareness of regulatory requirements and regulatory risk management particularly from a conduct perspective
• Previous similar or transferrable experience in a Financial Services firm or Professional Services firm advantageous
• Ability to plan and organise monitoring reviews and manage own workload/time effectively around this. Ability to multitask i.e. conduct more than one review in parallel on different subject matters.
• Ability to analyse and interpret complex information and data effectively to draw conclusions and propose wellreasoned guidance
• Ability to lead interviews and conduct debriefs with senior management with support from a Monitoring Manager or Head of Monitoring
• Confident in making regulatory judgements but recognises where decisions may be outside own limits and proactively seeks the necessary authority. Involves others in the decision making process to get a variety of inputs
• High level of written and verbal communication skills

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 performancerelated bonus plan and valuable share schemes  
• Generous pension contribution  
• Life assurance   
• Private medical insurance (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 
• 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 :

At L&G we believe its possible to generate positive returns today while helping to build a better future for all. 

If you join us youll be part of a welcoming inclusive 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 care passionately about outcomes rather than attendance and are therefore open to discussing all kinds of flexible working options including parttime termtime and job shares. Although some roles have limited flexibility due to customer demand we accommodate requests when we can. 

It doesnt matter if you dont meet every single criterion in this advert. Instead think about what you excel at and what else you can bring in terms of strengths potential and connection to our purpose. 

Remote Work :

No

Employment Type :

Fulltime