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Compliance Manager
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VN-7584
Permanent
1 Coleman Street, London, EC2R 5AA
Competitive + Benefits + Bonus
28 January 2018
Ensure regulatory, financial crime and conduct business risk appetite for LGIM Real Assets (Real Assets) is appropriately identified and defined to enable senior management and staff to understand and manage the risks on a timely basis.
Advise, challenge and monitor the first line's risk taking activities: Form an independent view of the risks being accepted by Real Assets, providing effective challenge on regulatory and conduct business risks.
Provide appropriate challenge to the businesses to ensure regulatory compliance and stakeholders are cognisant of their responsibilities
Be responsible for identifying risks to the business to ensure regulatory compliance through appropriate guidance and advice.
Provide advice, guidance and information to LGIM to ensure that the required regulatory standards are met. Ensure that all regulatory principles, are embedded into risk management practices, so that identified risks and controls focus on good customer centric outcomes, and that business processes and controls deliver the required regulatory outcomes.
Demonstrate and employ regulatory knowledge by providing interpretive guidance and assistance in managing regulatory risk.
Keep abreast of relevant global regulatory developments to the regulatory environment, principles and rules, and assess any potential impact for LGIM Real Assets businesses; verify that changes to standards are implemented by the first line.
As required, support Real Assets business development and acquisition in the UK and overseas, to ensure regulatory and conduct risks are identified and mitigated, and that the business establishes appropriate infrastructure and controls.
Together with the senior management team, lead, motivate and develop the compliance team to maximise their potential, their professional knowledge and their contribution to the business.
Attend Boards, Committees and management meetings, as required, to provide apposite advice and guidance to the governing bodies.
Challenge: Provides independent, informed, timely and objective challenges to the Real Assets businesses in relation to identification and management of key risks, and ensuring their business activities are within the risk appetite set down by the Board
Leadership: As a member of the compliance team, provide leadership, vision and direction for an effective LGIM compliance environment and infrastructure. Lead, motivate and develop the wider compliance team to maximise their potential, their professional knowledge and their contribution to the business.
Expertise: Understanding of the regulatory requirements and rules, and conduct risks relevant to Real Assets and the Group and on the processes for managing such risks.
Advice: Guides the Real Assets CEO, the Real Assets executive team, risk committees and staff on the formulation of conduct and regulatory risk strategies and policies across Real Assets, as well as the application of these to specific strategies, decisions or events.
Analytical skills: Analyse regulatory developments and provide guidance where necessary through drafting compliance/regulatory reports to Boards, Committees, Senior Managers and stakeholders as required. Demonstrate the ability to maintain a balance between a pragmatic, commercial approach to compliance and regulatory matters whilst working to achieve the desired outcome for the businesses.
Relationships: Maintains effective working relationships with internal and external risk stakeholders, such as Real Assets CEO and the Real Assets executive teams, Group Internal Audit and Group Risk, and effective liaison with external organisations, such as the FCA, and other regulatory and relevant trade bodies
Investment Management Expertise: Understanding of investment management techniques and processes.
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, 25 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, as well as a 12% car allowance scheme, your hard work will be rewarded when you join us.
About L&G
Legal & General Investment Management is one of Europe’s largest asset managers and a major global investor, with total assets of GBP 957 / EUR 1,090 / CHF 1,191 billion*. We work with a wide range of global clients, including pension schemes, sovereign wealth funds, fund distributors and retail investors
Throughout the past 40 years we have built our business through understanding what matters most to our clients and transforming this insight into valuable, accessible investment products and solutions. We provide investment expertise across the full spectrum of asset classes including fixed income, equities, commercial property and cash. Our capabilities range from index-tracking and active strategies to liquidity management and liability-based risk management solutions.
*as at 30 June 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.
LGIM Real Assets is a division within LGIM that comprises a group of companies that manage illiquid assets such as property, infrastructure debt, private credit, swaps and unregulated loans and operates funds (AIFs and partnerships) in these sectors.
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.