Electronic Communications Surveillance Analyst

Lloyds Banking Group
London, United Kingdom
Jan 26, 2021
Feb 02, 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
At Lloyds Banking Group, our Commercial Banking division supports over 100,000 clients across a wide range of business sectors through the provision of core banking products, such as lending, deposits and transaction banking services, as well as an extensive financial markets presence.

The Commercial Banking Business Risk (CBBR) Surveillance team works in partnership with our Coverage, Financing, Sales & Trading business within CB Markets, to support balanced growth whilst ensuring risk is handled within a defined risk appetite. We ensure processes are designed and executed effectively to handle operational risk through the application of key controls.

Do you have great experience from a Financial Markets Environment and are looking to advance your career in Trade Surveillance?

As Electronic Communications Analyst, you'll be responsible for undertaking the initial review of all relevant outputs from the e-Surveillance Tool (Compliance Accelerator) to examine instances of poor conduct and potential market abuse. This will involve in-depth analysis and collaboration with the team, as well as the need to drive improvement and enhancement of the team's processes and control capability.

What you'll be doing...

Your key accountability will be supporting with the development of surveillance capabilities and competencies for Client, Trader and Sales Surveillance for Electronic Communications.

You'll support this by:

  • undertaking initial analytical assessments of alerts.
  • supporting with more in-depth analysis on alerts. Working with trade surveillance, compliance, the business and operational support teams to fully investigate critical issues.
  • participating in the review of false positives and system capability.
  • maintaining excellent records management and audit trail of work.
  • driving improvements in the communications review and the use of additional data points to support the review and escalation methodology.
  • providing input to ad-hoc reviews, risk and control effectiveness assessments.
  • support Quality Assurance and Risk Teams to define and review control and test plans in line with the group's operational risk programme.
  • and monitoring and testing plans for the key controls identified by the Root Cause Analysis process.

There are key governance accountabilities and as such, you'll undertake validation of access and support the timely capture of monitored individuals and channels. When required you'll attend governance meetings and act as the subject matter expert for queries in relation to electronic communications surveillance.

About you:

You'll have a background within a Commercial Banking environment and experience of interacting with internal partners and the ability to influence and successfully challenge management to achieve an effective control framework.

You'll have an understanding of Commercial Banking activities, or Financial and Capital Market activities with a key understanding of lending, loan and liability markets. If these include origination, pricing, structuring and execution of loans, acquisition finance, project finance, securitisation, syndications and sponsor deals, then even better!

Previous front-office experience of Fixed Income, Currencies and Commodities will be beneficial, along with an understanding of conduct policies and With the UK regulatory framework (e.g. FCA principles and Market Abuse rules).

Ideally you'll also bring...
  • The ability to investigate and analyse complex pieces of information in differing formats (eg market data, verbal and written communication).
  • Evidenced written and verbal communication skills
  • And whilst not essential, the following qualifications may be relevant: ACA/ACCA, IIA, CFA, FRM, PRM, Institute of Bankers
  • Experience of managing large data sets (VBA preferable)

So, if you have a general appreciation of business strategy and Commercial Banking activities then don't hesitate and apply today.

What we can offer you in return...

In addition to the competitive base salary you'll also receive:
  • A 4% flex cash pot to spend on benefits (or take as cash)
  • Discretionary annual group performance bonus
  • Generous employer pension contribution up to 15%
  • Private medical health cover
  • Access to share schemes and staff discounts
  • 28 days holiday entitlement plus bank holidays

In line with our strategy to be the Best Bank for Colleagues, we encourage a culture of professional development. You'll have numerous opportunities to stretch and develop beyond core role responsibilities. In addition, recognition for colleague contribution and performance is an extremely meaningful element of our colleague charter.

Together we make it possible.

At Lloyds Banking Group, we're driven by a clear purpose; to help Britain prosper. Across the Group, our colleagues are passionate about making a difference to customers, businesses and communities. With us you'll have a key role to play in shaping the financial services of the future, whilst the scale and reach of our Group means you'll have many opportunities to learn, grow and develop.

We're passionate about creating a values-led culture and are committed to building a workforce which reflects the diversity of the customers and communities we serve. Together we're building a truly inclusive workplace where all of our colleagues have the opportunity to create a real difference.

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