Investments Surveillance Analyst, Risk & Compliance

Aberdeen Standard Investments; City of Edinburgh; On-site; GBP 30,000 - 60,000; Full time

Job summary

Join a forward-thinking company committed to being the UK's leading Wealth & Investments group. This role offers an exciting opportunity to engage in market conduct compliance, enhance surveillance processes, and collaborate with a diverse team. With a focus on client service and innovative solutions, you'll play a vital role in shaping the future of financial services. Enjoy a supportive environment that values talent and diversity, alongside an attractive benefits package including generous leave, pension contributions, and private healthcare. If you're passionate about risk and compliance, this is the perfect opportunity for you.

Benefits

40 days annual leave

16% employer pension contribution

Discretionary performance-based bonus

Private healthcare

Gym discounts

Season ticket loans

Employee discount portal access

Qualifications

• Degree in Finance or related field preferred.
• Strong analytical and communication skills are essential.

Responsibilities

• Review electronic communications for market conduct compliance.
• Support the Information Control Room activities.
• Collaborate to maintain an effective control environment.

Skills

Analytical Skills

Communication Skills

Teamwork

Proactive Attitude

Excel (Intermediate)

Education

Degree in Finance, Economics, Physics, Business Studies

Relevant Professional Qualifications

Job description

Job Description

At Aberdeen, our ambition is to be the UK’s leading Wealth & Investments group.

Strengthening talent and culture is one of our strategic priorities. We strive to make Aberdeen a great place to work so that we can attract and retain the industry’s best talent.

Our people put our stakeholders at the heart of everything they do by helping us to make a positive difference to the lives of our clients, customers, colleagues, shareholders and society.

We are focused on growing our direct and advised wealth platforms and repositioning our specialist asset management business to meet client demand. We are committed to providing excellent client service, supported by leading technology and talent.

Aberdeen comprises three businesses, interactive investor (ii), Investments and Adviser, each of which focuses on meeting and adapting to our clients’ evolving needs:

1. interactive investor, the UK’s second largest direct-to-consumer investment platform, enables individuals in the UK to plan, save and invest in the way that works for them.
2. Our Adviser business provides financial planning solutions and technology for UK financial advisers, enabling them to create value for their customers.
3. Our Investments business is a specialist asset manager that focuses on areas where we have both strength and scale to capitalise on the key themes shaping the market, through either public markets or alternative asset classes.

Key Responsibilities:

• Review trade electronic communications and voice calls for the purposes of market conduct purposes.
• Support the wider team’s duties in relation to the Information Control Room activity to maintain the companies insider list and associated restrictions.
• Provide input to improve surveillance processes and look for further opportunities to automate testing.
• Supporting the production of relevant management information.
• Work collaboratively with colleagues across SLA to build and maintain an effective control environment for business areas, providing guidance and support, alongside constructive challenge.

Qualifications:

• Degree or equivalent level qualification in Finance, Economics, Physics, Business Studies or related subject (preferred, but not required)
• Any relevant professional qualifications preferred

Key knowledge, skills & experience:

• Interest and passion for a career in financial services and or Risk & Compliance
• Good analytical skills
• Pragmatic and proactive
• Excellent verbal and written communication skills.
• Proven experience working well in a team
• Intermediate Excel ability (Experience with macros, formulas etc are a bonus)
• Ability to work under pressure

We are proud to be a Disability Confident Committed employer. Therefore, if you have a disability and would like to apply to one of our UK roles under the Disability Confident Scheme, please notify us by completing the relevant section in our candidate questionnaire and one of our team will reach out to support you through your application process.

Our benefits:

There's more to working life than coming home with a good salary. We have an environment where you can learn, get involved and be supported.

When you join us, your reward will be one of the best around. This includes 40 days’ annual leave, a 16% employer pension contribution, a discretionary performance based bonus (where applicable), private healthcare and a range of flexible benefits – including gym discounts, season ticket loans and access to an employee discount portal. You can read more about our benefits here.

Our business:

Enabling our clients to be better investors drives everything we do. Our business is structured around three distinct areas – our vectors of growth – focused on our clients’ changing needs. You can find out more about what we do here.

We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense – this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone. If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.