Compliance Manager

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Company Description

Legal & General is one of Europe's largest asset managers, providing clients and partners with complex, responsible investment solutions, across public and private markets. As a global investor, we are present where our clients most need us - from Hong Kong and Singapore, to Chicago and major European financial hubs.

Created by combining our investment management (LGIM) and asset origination (LGC) capabilities, our Asset Management division works with our Institutional Retirement and Retail divisions to benefit our clients and customers - which include individual savers, pension scheme members and global institutions - and deliver enhanced shareholder returns.

Joining us means becoming part of a market-leading team, with capabilities across the full spectrum of asset classes, with an enduring commitment to responsible investment and creating long-term, sustainable value for our clients and partners.

Job Description

We're recruiting for a Complinace Manager to join our team. In this role, you will work as part of the Compliance Advisory team and a wider Compliance team to provide high quality compliance advisory support principally within Private Markets. You will be proactively advising, challenging, reviewing, training and supporting the business to enable it to understand its regulatory responsibilities and to comply with regulation, delivering first class conduct risk mitigation and maximum business benefits.

What you'll be doing:

• Personally providing first class, commercially focused compliance advisory support to the business in respect of one or more asset classes or business areas; proactively advising, challenging, reviewing, training, and supporting the business to enable it to understand its regulatory responsibilities and to comply with regulation, delivering first class conduct risk mitigation and maximum business benefits.
• Looking ahead to and analysing emerging and developing regulation in order to be able to support business stakeholders in understanding direct and indirect impacts of this and to plan and implement required changes in a timely manner in order to stay compliant.
• Ensuring that own activity is focused in order to best deliver risk-based conduct risk and compliance value add whilst being curious and proactively identifying additional areas of activity that will bring further business benefit.
• Developing close working relationships with business stakeholders within asset class or business area for which responsible, making extensive use of communication skills and personal expertise to achieve required outcomes and to effectively perform all identified value add activities, both operationally and commercially.
• Maintaining an open and effective dialogue with all stakeholders, proactively suggesting ways in which the business can further understand, take responsibility for and mitigate its conduct risk profile. Using business partnership to ensure that the regulatory implications of new business initiatives and/or proposed changes are understood.
• Working with the Senior Compliance Manager to ensure that timely, relevant and accurate conduct risk metrics/MI is available for allocated asset class.
• Ensuring that Compliance policies and procedures are drafted, reviewed and updated in a timely manner and proactively participating in the production of regular Compliance & Conduct Advisory internal communication materials in order to support business awareness and understanding.
• Through positive engagement with business stakeholders, ensuring that appropriate processes, systems and controls are in place and that any risks and issues identified are escalated as necessary, reviewing and challenging as required and thereby ensuring that the Asset Class Oversight function supports the business in treating its customers and clients fairly.

Qualifications

Who we're looking for:

• Exposure to direct investment management across asset classes. Good understanding of the end-to-end investment process.
• Good understanding of global regulation and of compliance and conduct risk within an investment management environment. (AIFMD / MIFID) Ability to swiftly analyse emerging regulation in order to identify impacts for LGIM.
• Good working knowledge of investment financial promotions review and approval.
• Very good interpersonal and both report writing and verbal communication skills, including the ability to fully participate where senior stakeholders are present and to deliver technical information concerning conduct risk topics in a clear and concise manner.
• Very good influencing and negotiation skills, ability to use influence and persuasion to resolve differences through to a satisfactory resolution.
• Good presentation skills including the ability to articulate and convey complex concepts and ideas to a varied audience in a clear and compelling manner.
• Ability to nurture and promote effective working relationships with stakeholders - highly collaborative with an outward facing approach.
• Ability to remain independent and to demonstrate that independence whilst also providing commercial, practical and value-add solutions for the business, influencing outcomes positively for all stakeholders.
• Must be delivery focused, possessing high levels of resilience and determination and be able to meet challenging deadlines and deal with conflicting priorities.
• Dynamic individual with outcome-oriented outlook.
• Has an appreciation of industry best practice, willing to take a pragmatic approach where required.
• Ability to assess and generate progressive solutions.
• Excellent attention to detail.

Whatever your role, we reward performance and behaviour with a package that looks after all the things that are important to you. Here are some of the benefits we offer:

• The opportunity to participate in our annual, performance-related bonus plan and valuable share schemes
• Generous pension contribution
• Life assurance
• Private medical insurance (permanent employees only)
• At least 25 days holiday, plus public holidays, 26 days after 2 years' service. There's also the option to buy and sell holiday
• Competitive family leave
• Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice
• There are the many discounts we offer - both for our own products and at a range of high street stores and online
• In 2023, some of our workspaces were redesigned. Our offices are great spaces to connect and collaborate and have your wellbeing at the heart

Additional Information

Videos To Watch
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