Lorien
Compliance Transformation Analyst
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Compliance Transformation Analyst (Financial Crime & Consumer Outcomes)
6-Month Contract | UK Based | Hybrid/Flexible Working
Are you a seasoned compliance professional with deep expertise in Financial Crime, Consumer Duty, and Private Markets? We are seeking an experienced Compliance Transformation Analyst to support a major compliance transformation programme within a leading investment and pensions organisation.
This is an exciting opportunity to play a critical role in strengthening Financial Crime and Consumer Outcomes frameworks while helping embed sustainable capability across the wider compliance function.
The Role
As a Compliance Transformation Analyst, you will provide specialist expertise across Financial Crime, Consumer Outcomes, and Conduct Risk activities. Working within the Conduct, Consumer & Market Integrity team, you will lead framework enhancements, strengthen controls, support operational readiness, and drive improvements in management information and governance.
You will partner with stakeholders across Compliance, Operations, Investments, Risk, and Customer teams to deliver a scalable and effective control environment while supporting increased business activity and regulatory expectations.
Key Responsibilities
Financial Crime Framework Enhancement
- Assess and strengthen existing Financial Crime controls and governance frameworks.
- Develop and improve end-to-end processes to create more scalable and efficient operating models.
- Identify and remediate control, process, and documentation gaps.
- Support counterparty onboarding and ongoing monitoring activities.
- Perform and oversee KYC, due diligence, Reverse KYC, covenant monitoring, and lifecycle reviews.
- Support External Fund Manager (EFM) oversight and associated assurance activities.
- Define monitoring requirements, controls, testing approaches, and evidence standards.
- Enhance management information, governance reporting, breach escalation, and remediation tracking.
- Support operational readiness for increased Private Markets and Pension Risk Transfer transaction volumes.
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Consumer Outcomes Framework Enhancement
- Review and assess customer journey mapping against regulatory requirements and SMCR accountabilities.
- Evaluate and enhance the current MI suite, identifying opportunities to introduce leading indicators and improve insight generation.
- Support Consumer Duty reporting and governance activities.
- Collaborate with customer outcome stakeholders to drive reporting and framework improvements.
- Help ensure regulatory compliance while delivering positive customer outcomes.
Capability Building
- Coach and develop team members through knowledge sharing and practical guidance.
- Create sustainable processes and documentation to support long-term BAU ownership.
- Facilitate effective handover and embedding of enhanced controls within the permanent team.
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Essential Experience
- Extensive Financial Crime framework and controls experience gained within an asset manager, investment firm, pensions provider, insurer, or asset owner environment.
- Strong understanding of end-to-end counterparty onboarding processes, particularly within Private Markets.
- Hands-on experience of:
- KYC
- Customer Due Diligence (CDD)
- Reverse KYC
- Covenant Monitoring
- Ongoing Lifecycle Monitoring
- Experience overseeing External Fund Managers (EFMs).
- Strong knowledge of Consumer Duty and customer outcomes frameworks.
- Understanding of:
- Consumer Outcomes
- PROD
- IDD
- Conduct of Business (COBs) requirements for annuity-based products
- Strong Private Markets product knowledge.
- Demonstrable experience supporting Pension Risk Transfer (PRT) activities.
- Excellent stakeholder management and communication skills.
- Proven ability to coach, mentor and upskill teams.
Desirable Experience
- Experience delivering compliance transformation or regulatory change initiatives.
- Experience within pensions, insurance, investment management, or retirement solutions businesses.
- Strong analytical and data-driven approach to MI development and governance reporting.
- Knowledge of regulatory assurance and control testing.
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