The Commercial Banking Business Risk (CBBR) Surveillance team works in partnership with our 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 looking to advance your career in Surveillance?
We have a new opportunity as an E-Comms & Voice Surveillance Analyst where you'll be responsible for undertaking review, investigation and escalation of all relevant outputs from our e-Surveillance Tool as well those identified in the course of random sampling within voice surveillance.
- Undertaking initial analytical assessments of alerts from the e-Surveillance tool and call retrieval systems to formulate an opinion of any market abuse or conduct risk that may have occurred. This can include analysing data sets and written & verbal communications. Escalating instances to relevant Business Line Mangers or senior analysts where appropriate.
- Participating in a weekly review of false positives providing suggestions to improve coverage and reduce false positives and lexicon improvements.
- Maintenance of excellent records in relation to Surveillance alerts so that a clear audit trail is maintained.
- Drive improvements in the communications review, linking alerts across different channels. Provide input into annual communications review, risk refresh and control effectiveness reviews.
- Support Quality Assurance and Risk Team to define and regularly review a monitoring and testing plan for the key controls identified by the Root Cause Analysis process.
- Inputs into the development of surveillance capabilities and competencies for Client, Trader and Sales Surveillance including eComms & Voice.
Essential Knowledge and Experience
You'll have a strong understanding of the Financial Markets business and lifecycle of a trade (ideally gained whilst working in a front office environment). Alongside this you'll bring understanding of either FX and Commodities or Rates, Money Markets and Credit products.
You'll also have great knowledge of:
- The UK regulatory framework (e.g. FCA principles and Market Abuse rules).
- Different methods of trading and associated trading strategies.
- Understanding of LBG or similar Operational Risk Framework methodology and systems
Essential Skills and Capabilities
- Ability to investigate and analyse complex pieces of information in differing formats (e.g. market data, verbal and written communication)
- Evidenced written and verbal interpersonal skills.
- Good MS Excel skills
- Ability to handle large data sets (VBA preferable).
- Whilst not essential, the following qualifications may be relevant: ACA/ACCA, IIA, CFA, FRM, PRM, Institute of Bankers.
What We Offer
- Competitive base salary: £36,405 - £42,472
- Discretionary performance share award and access to share schemes.
- A flexible benefits scheme (4% of base salary) you can adjust to suit your lifestyle.
- A generous pension contribution
- Private health cover, extendable to family cover.
- 28 days holiday plus bank holidays
Apply today, we'd love to hear from you.
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 focused on 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 focused on 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 make a real difference.