Compliance Monitoring Analyst

TN United Kingdom; Cardiff; On-site; GBP 35,000 - 50,000; Full time

Job summary

A leading company in the financial services sector is seeking a Compliance Monitoring Analyst to enhance risk-based monitoring. The role involves conducting reviews, managing relationships, and ensuring compliance with regulatory standards. Ideal candidates will possess strong analytical and communication skills, with a focus on customer outcomes. The position offers a supportive culture and opportunities for career development.

Benefits

Annual performance-related bonus

Generous pension contribution

Life assurance

Private medical insurance

At least 25 days holiday

Flexible holiday options

Competitive family leave

Electric car salary sacrifice scheme

Discounts on products

Wellbeing-focused workspace

Qualifications

• Ability to analyse and interpret complex data effectively.
• Confidence in making regulatory judgments.

Responsibilities

• Conducting outcome reviews and drafting reports.
• Maintaining relationships with operational staff for problem-solving.
• Delivering outcome-based monitoring reviews.

Skills

Analytical Skills

Communication

Regulatory Awareness

Education

Professional Financial Qualification

Job description

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We’re recruiting for a Compliance Monitoring Analyst to effectively contribute towards the formation of a risk-based monitoring plan and deliver accurate, reliable, and timely monitoring reviews of high quality, with a focus on conduct risk.

What you'll be doing:

1. 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.
2. 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.
3. 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.
4. Responsible for the end-to-end delivery of outcome-based monitoring reviews, including following up with the business to ensure actions have been completed successfully and to the required standard.
5. Maintaining up-to-date knowledge of conduct risk developments and participating in knowledge sharing across the team.
6. Demonstrating pro-activeness and insight in utilising technology/analytics for monitoring work and guiding the work from design to conclusion with help from a technical expert.
7. Ensuring that the appropriate processes, systems, and controls are in place, and that risks and issues are identified and escalated, to ensure customers are treated fairly in line with Legal & General’s Customer Conduct Risk Policy.

Qualifications

1. Professional financial qualification advantageous.
2. Previous experience of working with L&G products, as part of either first or second line teams.
3. An understanding of the Consumer Duty and the importance of delivering good outcomes to customers.
4. An awareness of regulatory requirements and risk management, particularly from a conduct perspective.
5. Previous similar or transferable experience in a financial or professional services firm advantageous.
6. Ability to plan and organise monitoring reviews and manage workload effectively. Ability to multi-task, conducting more than one review in parallel.
7. Ability to analyse and interpret complex data effectively to draw conclusions and propose guidance.
8. Ability to lead interviews and conduct debriefs with senior management, with support from a Monitoring Manager or Head of Monitoring.
9. Confidence in making regulatory judgments, recognizing when to seek authority, and involving others in decision-making.
10. High level of written and verbal communication skills.

Benefits

• Participation in annual performance-related bonus and share schemes.
• Generous pension contribution.
• Life assurance.
• Private medical insurance (permanent employees).
• At least 25 days holiday, plus public holidays, increasing to 26 after 2 years.
• Flexible holiday options.
• Competitive family leave.
• Electric car salary sacrifice scheme.
• Discounts on products and at high street stores.
• Modern, wellbeing-focused workspace environments.

Additional Information

At L&G, we believe in generating positive returns today while building a better future for all.

If you join us, you'll be part of an inclusive culture that values diversity, collaboration, and integrity. We support your career development and wellbeing, with flexible working options to accommodate your needs.

We welcome applications from candidates who may not meet every criterion but bring strengths, potential, and a connection to our purpose.