Compliance Manager
Legal & General Group Plc.
London, GB
9d ago
  • Company Info
  • 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.
  • Department Info
  • 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.

  • Job Duties
  • The Compliance Manager will work as part of the Compliance monitoring team and a wider Compliance team to provide high quality compliance monitoring support to the LGIM(H) regulated entities undertaking monitoring functions, management information reporting, some advisory support and carrying on ad hoc Compliance projects.

  • Skills Required
  • Contribute to the creation, implementation and delivery of a comprehensive risk based Compliance Monitoring Programme (CMP).

    The CMP covers all FCA / PRA regulated firms within LGIM(H) and aims to reflect all relevant regulatory requirements impacting these businesses.

    Identify regulatory issues and risks while carrying out effective surveillance and monitoring reviews within the deadlines set.

    Ensure mitigating actions assigned within the reviews are completed within the agreed timescales.

    Maintain detailed knowledge of relevant rules and legislation to aid in the interaction with business areas as part of the CMP and within Compliance projects.

    Produce clear and to-the-point management information for various groups, committees and team meetings.

    Take responsibility for allocated compliance projects, and represent the Compliance team in business meetings.

    Assist in the delivery of an efficient regulatory risk framework feeding into a risk-based CMP. Ensure that identified risks are recorded, analysed and taken into account in the delivery of surveillance, monitoring reviews and projects.

    Engage with other Compliance and Risk team members and engage in cross training, exchange of information and collaboration.

  • Benefits
  • 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.

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