Global Compliance Analyst – Investment Management

LegalAndGeneral; Illinois; On-site; USD 70,000 - 100,000; Full time

Benefits offered by this job

Health insurance

HSA

Disability insurance

Dental insurance

Vision care

Life insurance

401K

Vacation

Sick time

Employee assistance program

Commuter benefit

Job summary

L&G Asset Management in the United States is seeking a Compliance Analyst to support the firm’s Compliance Program with monitoring, surveillance, testing, and advisory activities. This role upholds the firm’s Culture of Compliance across the organization.

Responsibilities include assisting with policy testing, reviewing Code of Ethics preclearance, coordinating with international affiliates, and supporting regulatory exams and audits.

Qualifications

• Bachelor’s degree or equivalent combination of education and experience.
• 2–4 years of experience with an SEC-registered investment advisor.
• Strong understanding of equity, fixed income and derivative securities and markets.
• Strong MS Office skills (Excel, Word, PowerPoint).
• Experience within STAR Compliance and/or CRIMS is a plus.

Responsibilities

• Assist with forensic testing of compliance with policies and procedures, including employee and trade surveillance, monitoring and testing.
• Lead the review and approval of all Code of Ethics preclearance requests, including: gifts, entertainment, political contributions, charitable contributions, outside business activities, and personal trading requests.
• Engage with international affiliates on conduct and monitoring related matters to ensure global alignment of compliance standards and regulations.
• Establish workflows and document compliance procedures to support operational efficiency and regulatory adherence.
• Cross train in additional compliance tasks to provide coverage for absent team members.
• Participate in training employees on compliance requirements, supporting firm-wide understanding of obligations.
• Assist in document gathering and provide support during periodic regulatory exams, annual reviews and internal audits.
• Perform general compliance duties, supporting daily oversight and issue resolution.
• Support ad hoc compliance projects and initiatives as assigned.
• Assist the Senior Compliance Officer in maintaining and promoting a strong “Culture of Compliance” across all staff and business areas.

Skills

Forensic testing

Code of Ethics reviews

Regulatory compliance

Analytical thinking

Microsoft Office

Education

Bachelor’s degree or equivalent

Tools

STAR Compliance

CRIMS

Job description

L&G Asset Management in the United States is seeking a Compliance Analyst to support the firm’s Compliance Program with monitoring, surveillance, testing, and advisory activities. This role upholds the firm’s Culture of Compliance across the organization.

Responsibilities include assisting with policy testing, reviewing Code of Ethics preclearance, coordinating with international affiliates, and supporting regulatory exams and audits.