The Compliance Manager will work as part of the Central Compliance team and the wider Compliance team to develop the policy framework for the LGIM(H) regulated entities and embed the required standards across the business. 

The manager will be expected to assist the Central Compliance team in producing relevant Management information for Boards and Committees and coordinate the firm wide identification and management of conflicts of interest.

The manager will also need to keep up to date with emerging regulatory issues as well as risks, and understand the businesses within scope in order to identify the impact and assist in the delivery of work for the Senior Managers & Certification Regime.

The main role includes:

• Review regulatory, legislative and business documents to develop, update and embed Compliance and Conduct Risk policies, procedures, standards and guidelines.
• Ensure collation and analysis of relevant MI and compliance information; summarise and report findings such that line management, Boards and Committees are fully appraised of issues, governance and compliance; assist in the preparation of reporting to regulatory authorities.
• Develop and maintain peer relationships within the businesses, stakeholders and related departments at both LGIM and the wider Group, to support the firms’ identification and management of conflicts of interest and ensure co-ordination of activities where appropriate.
• Build and maintain a good level of technical knowledge that enables an effective contribution to compliance activities and provide training to the business where relevant.
• Take responsibility for allocated compliance projects (including SM&CR), and as required, deputise for the Senior Compliance manager through occasionally representing the Compliance team at committee meetings, business meetings, trade body meetings, seminars and other industry forums.
• Support the development and implementation of compliance automated systems to manage workflow for the Code of Ethics and identify further processes that could be streamlined.
• Engage with other team members and favour cross training, exchange of information and collaboration.

We are looking for the following attributes:

• Ability to demonstrate a proactive approach while contributing to the development and implementation of a comprehensive, policy and conflicts framework for LGIM(H) businesses which reflects relevant regulatory requirements impacting the business.
• Good analytical skills and industry awareness including of emerging regulation to identify the impact on the business areas and policies and ability to work proactively with business areas to meet all new regulatory requirements.
• Good knowledge of retail and wholesale compliance in an asset management and unit trust management context. Some Pensions regulation knowledge would also be of advantage.
• Demonstrate high attention to detail and ability to work effectively, both individually and within a team to deliver clear and to the point policies, procedures and reports.
• Ability to work efficiently with the Senior Compliance Manager and other team members to successfully support the Compliance function and Compliance projects, by proactively developing effective and efficient methods and tools to manage compliance workload and supporting/covering fellow team members on an ad hoc basis.

Profile of ideal candidate

• Proactive and confident Compliance professional with over 3 years’ experience in a Compliance team with good and demonstrable knowledge of both retail and wholesale Compliance preferred. Candidates with relevant but non-Compliance experience will also be considered if skills and knowledge are directly relevant.
• Excellent written and verbal communication skills, an organised and structured approach to producing clear and logical policies, training material and reports.
• Industry qualifications are not essential, although would be preferred, complete or in progress (for example IMC or CISI Diploma in Investment Compliance). Ability to demonstrate continuous and current industry and regulatory awareness is essential.
• The candidate should also demonstrate ability to work effectively, both individually and within a team, with great attention to detail, display enthusiasm and a high level of initiative and be a good fit for a dynamic team.

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, your hard work will be rewarded when you join us.