Marketing Compliance Manager

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VN-13499

Permanent

London

Competitive + Benefits + Bonus

31 July 2019

Define, implement and maintain secure first line of defence for marketing team across UK / international markets. Establish and responsible for process to review marketing materials in UK to verify compliance with relevant regulatory financial promotions requirements. To liaise with marketing teams in international markets as appropriate. To ensure correct process and usage of compliance systems within marketing team. Lead work to define and manage risk management processes and procedures across marketing. Responsible for linkages with compliance department to ensure optimal second line of defence. General compliance and risk champion for marketing.

1. Review and update existing compliance policies and procedures in line with applicable regulatory requirements and industry best practices, working in partnership with the compliance team and key stakeholders

2. Administer the marketing material review and approval system. Review materials as first line of defence for marketing team.

3. Act as marketing compliance champion. Conduct compliance training for team members relating to regulatory requirements and industry best practices to facilitate the creation and use of marketing materials.

4. Establish processes to monitor and test compliance with LGIM’s marketing-related compliance policies and procedures, and regulatory requirements on a risk assessed basis.

5. Help refine and prepare regular risk control assessments.

6. Manage first line compliance process to ensure that customers are provided with clear information, before, during and after the point of sale.

7. Work with internal stakeholders to ensure compliance process runs smoothly all documentation is signed off appropriately in a timely manner.

8. Manage relationship with compliance team to ensure optimum linkages between first and second line of defence.

Qualifications:

Undergraduate degree in appropriate discipline preferred.

Knowledge:

Good regulatory knowledge including FCA CoB rules on financial promotions, UCITs and AIFMD relevant rules.

Experience:

Previous experience of approving financial promotions for a financial services firm, including raising challenges on content, presentation and process.

Skills:

Ability to analyse and assess the current state, identify gaps and develop plans for continuous improvement.

Good communication, relationship-building and interpersonal skills.

Leadership:

No direct reports. The role must be an advisor and partner to the business who helps the business understand the regulatory requirements and finds solutions where possible.

Whatever your role, we reward ability, performance and attitude with a package that looks after all the things that are important to you. Our employees have a wide range of benefits including a generous pension scheme, life assurance, 27 days' holiday, private medical insurance, performance related bonuses, a variety of share schemes, discounts at both a huge range of high street stores and our own great products, your hard work will be rewarded when you join us.

About L&G

LGIM is the investment management arm of Legal & General Group, a FTSE 100 company. We are one of Europe’s largest asset managers and a major global investor, with assets under management of £983.3bn* (as at 31 December 2017). Our success has been built by focusing on clients and providing them with services and solutions that meet their needs. We offer strategies across the full spectrum of asset classes, including equities, bonds, property, alternatives and cash, as well as multi-asset strategies tailored to the needs of institutional and retail investors.

LGIM is one of the world’s leading providers of index fund management. We are at the forefront of developments in liability-driven risk management solutions for defined benefit pension schemes, a leading provider of defined contribution solutions and also offer wide range of strategies to help our clients manage their investment objectives. LGIM continues to innovate as markets evolve, building strong relationships with clients including pension scheme, sovereign wealth funds, wealth managers and other professional investors.

We understand that our scale brings responsibilities. We play an active role in the companies we invest in, from exercising shareholder voting rights to directly engaging with companies at a board level. By engaging with businesses, we aim to unlock value for investors and shape the future and sustainability of financial markets.

In addition to having a leading position in the UK, we have selectively expanded into new markets across Europe, the Middle East, Asia and the US. We believe that translating our capabilities to reflect the needs of our international clients will mean we are well placed to help them achieve their objectives.

*LGIM internal data as at 31 December 2017, including derivative positions and advisory assets. These figures include assets managed by LGIMA, an SEC Registered Investment Advisor.

About the business area

LGIM manages fixed income, equity, multi-asset, liability-driven investment, property and alternative solutions on behalf of its clients. Located across the globe, our clients include institutional pension funds, financial institutions, local authorities and sovereign wealth funds. In order to meet the complex and evolving investment needs of our clients, we focus on remaining at the forefront of investment product innovation and maintaining our reputation as experts across all asset classes.

We are an equal opportunities employer and welcome applications from all suitably qualified persons regardless of their race, sex, disability, religion/belief, sexual orientation or age.

About L&G

LGIM is the investment management arm of Legal & General Group, a FTSE 100 company. We are one of Europe’s largest asset managers and a major global investor, with assets under management of £983.3bn* (as at 31 December 2017). Our success has been built by focusing on clients and providing them with services and solutions that meet their needs. We offer strategies across the full spectrum of asset classes, including equities, bonds, property, alternatives and cash, as well as multi-asset strategies tailored to the needs of institutional and retail investors.

LGIM is one of the world’s leading providers of index fund management. We are at the forefront of developments in liability-driven risk management solutions for defined benefit pension schemes, a leading provider of defined contribution solutions and also offer wide range of strategies to help our clients manage their investment objectives. LGIM continues to innovate as markets evolve, building strong relationships with clients including pension scheme, sovereign wealth funds, wealth managers and other professional investors.

We understand that our scale brings responsibilities. We play an active role in the companies we invest in, from exercising shareholder voting rights to directly engaging with companies at a board level. By engaging with businesses, we aim to unlock value for investors and shape the future and sustainability of financial markets.

In addition to having a leading position in the UK, we have selectively expanded into new markets across Europe, the Middle East, Asia and the US. We believe that translating our capabilities to reflect the needs of our international clients will mean we are well placed to help them achieve their objectives.

*LGIM internal data as at 31 December 2017, including derivative positions and advisory assets. These figures include assets managed by LGIMA, an SEC Registered Investment Advisor.

About the business area

LGIM manages fixed income, equity, multi-asset, liability-driven investment, property and alternative solutions on behalf of its clients. Located across the globe, our clients include institutional pension funds, financial institutions, local authorities and sovereign wealth funds. In order to meet the complex and evolving investment needs of our clients, we focus on remaining at the forefront of investment product innovation and maintaining our reputation as experts across all asset classes.

We are an equal opportunities employer and welcome applications from all suitably qualified persons regardless of their race, sex, disability, religion/belief, sexual orientation or age.