Compliance Monitoring Analyst

Job Description

Company overview
LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. Our head office is based in London, with a presence in Edinburgh, Jersey, Leeds, Birmingham, Bristol and Manchester. Our aim is to put clients first by providing a transparent service designed around what is right for each of them. We draw on in-depth knowledge and experience across the industry to provide a flexible, bespoke service tailored to each client’s needs. Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas to strengthen our business. Belonging, respect, integrity, conviction and entrepreneurship are our core values. As our brand recognition grows, we are increasingly regarded as an employer of choice in our sector. We have over £30 billion in funds under management and around 700 staff.

Role Summary

Brief Role Objective:
To assist in the execution of the testing required as part of the Firm’s annual Compliance Monitoring Plan (CMP).

Key Responsibilities

• Assist in the execution of testing required as part of the Firm’s annual CMP, either independently or with the Head of Compliance Monitoring.
• Carry out testing in accordance with the CMP to meet strict deadlines and enable prompt reporting.
• Continuously suggest improvements to test script design and content, driven by past experience, regulatory focus, changes to internal systems, new business, staff turnover or customer complaints.
• Assist the Head of Compliance Monitoring by gathering data, documents and other management information as required.
• Document findings and recommendations, obtain responses from the area under review, and present findings as part of the CMP Report.
• Record all recommendations and actions from reviews and proactively chase until resolution.
• Provide ad-hoc support to the wider team as required.

Requirements

Key Skills and Technical Requirements

• Good understanding of the wealth management business gained through similar roles.
• Solid knowledge of the FCA Handbook and other relevant regulations.
• Ability to stay up to date with, analyse, and interpret regulatory requirements and link developments to the CMP where appropriate.
• Minimum 1–2 years’ experience, ideally within monitoring.

Other Skills and Attributes

• Motivated and conscientious with strong interpersonal skills.
• Excellent organisational skills, with the ability to prioritise and meet deadlines.
• Ability to produce well-structured, accurate written communications (technical knowledge, grammar and spelling).
• Ability to question politely but firmly to obtain accurate answers during testing.
• Ability to work independently and as part of a team across the Firm.
• Team player who supports other members of the Legal and Compliance team.

IT

• Proficient in Microsoft Excel and Word.
• Experience with Microsoft Power BI is an advantage.
• Experience using FCA reporting portals is an advantage.

Contact Information

We look forward to receiving your online application. For any further information, please contact us.

LGT Wealth Management UK LLP
Human Resources
Alex Johnson