Compliance Analyst (Surveillance)

Legal & General (L&G) is a leading UK financial services group and major global investor.

We’ve been safeguarding people’s financial futures since 1836, and strive to build a better society, while improving the lives of our customers and creating value for shareholders.

We are one of the world’s largest asset managers and provide powerful asset origination capabilities. Together, these underpin our retirement and protection solutions: we are an international player in pension risk transfer, in UK and US life insurance, and in UK workplace pensions and retirement income.

L&G Asset Management is one of Europe’s largest asset managers, providing clients and partners with complex, responsible investment solutions, across public and private markets. As a global investor, we are present where our clients most need us – from Hong Kong and Singapore, to Chicago and major European financial hubs.

Created by combining our investment management (LGIM) and asset origination (LGC) capabilities, our Asset Management division works with our Institutional Retirement and Retail divisions to benefit our clients and customers – which include individual savers, pension scheme members and global institutions – and deliver enhanced shareholder returns.

Joining us means becoming part of a market-leading team, with capabilities across the full spectrum of asset classes, with an enduring commitment to responsible investment and creating long-term, sustainable value for our clients and partners.

Job Description

We’re 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 risk-based oversight for market abuse and best execution. 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 you’ll be doing:

• Assisting in creating and implementing a comprehensive, risk-based 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 up-to-date 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 we’re 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, risk-based 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. There’s 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 brand-new 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 Britain’s 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, you’ll 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 you’re open to find out more, we\’d love to hear from you.

Seniority level

• Not Applicable

Employment type

• Full-time

Job function

• Finance

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