Compliance Analyst, L&G - Asset Management, America

L&G's Asset Management business is a major investor across public and private markets worldwide, with $1.533 trillion in AUM. Our clients include individual savers, pension scheme members, and global institutions, who invest alongside L&G’s own balance sheet. We aim to be a leading global investor, innovating to solve complex challenges for our clients using the power of L&G. Our investment philosophy focuses on creating long-term value, incorporating financially material sustainability criteria to generate value and drive positive change.

About the role

The Compliance Analyst supports the firm’s Compliance Program through ongoing monitoring, surveillance, testing, and advisory activities. This role plays a key part in upholding the firm’s “Culture of Compliance” by ensuring adherence to regulatory requirements, internal policies, and ethical standards across the organization.

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.

Requirements

• Bachelor’s degree or equivalent combination of education and experience.
• 2-4 years of experience with an SEC-registered investment advisor.
• General understanding of equity, fixed income, and derivative securities and markets.
• Strong computer skills, including proficiency with Microsoft Office (Excel, Word, PowerPoint).
• Experience within STAR Compliance and/or Charles River Investment Management (CRIMS) is a plus.
• Ability to effectively manage time, prioritize tasks, and meet deadlines in a dynamic environment.
• Strong critical-thinking and problem-solving skills, with the ability to develop creative solutions.
• Excellent verbal and written communication skills, with the ability to clearly convey information and guidance.
• Ability to research compliance-related topics and provide guidance to team members.
• Strong attention to detail with a demonstrated ability to produce thorough, accurate documentation.
• Experience working in a large, international, matrixed organization is a plus.

Benefits

• Eligibility for health insurance with an optional HSA, short-term disability, long-term disability, dental insurance, vision care, and life insurance.
• Healthcare, Dependent, and Limited Care Flexible Spending Accounts.
• 401K retirement plan.
• Paid vacation and sick time.
• Employee assistance program.
• Commuter and transit programs.
• Annual discretionary bonus plan.
• Voluntary supplemental health benefits, including accidental injury, critical illness, hospital indemnity insurance, and pet insurance.

The starting salary offer will vary based on factors including education, job-related experience, skills, abilities, geographic location, and market conditions.