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Compliance Associate - Product Provider Oversight
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Up to £52,000
30 April 2021
We are hiring a Compliance Associate who will work as part of the Compliance team to provide high quality Advisory Compliance support to the LGIM(H) regulated entities.
Within this role, you will be required to provide independent Compliance dvice, guidance and training to LGIM’s businesses, specifically the Product Providers for LGIM’s range of UK UCITS Funds, Alternative Investment Funds and Unit Linked Life Funds.
- Managing the provision of compliance advice and guidance on new projects, products, propositions, services and other initiatives to ensure the delivery of fair customer outcomes, and appropriate risk mitigation in line with the LGIM conduct risk appetite.
- Reviewing and providing timely advice about disclosure and reporting for UCITS, AIF and Unit Linked Life Fund product providers within the LGIM Group.
- Providing advice and guidance to the business on regulatory change, including preparing responses and inputting to lobbying proposals to ensure early awareness of initiatives and effective identification and management of new and changing regulatory risks.
- Ensuring necessary matters are reported to the respective Product Providers as appropriate, attending governance meetings as required.
- Developing and maintaining effective and close working relationships with the relevant business areas and other group risk and compliance teams to ensure effective co-ordination of work to manage regulatory developments impacting UCITS, Alternative Investment Funds and Unit Linked Life Fund product providers, so that all material regulatory risks are identified and managed within agreed risk appetite.
- Maintaining up-to-date knowledge of regulatory requirements, industry best practice and developments, sharing knowledge with the wider Legal & General Group as appropriate
- Working with other Compliance team members and business colleagues to promote a good compliance culture within LGIM(H) firms so that regulatory expectations are met.
- Working with the Head of Product Provider Oversight and other compliance colleagues to successfully manage LGIM’s compliance function and work, by proactively developing effective and efficient methods and tools to manage compliance work and supporting/covering fellow team members on an ad hoc basis.
- Previous experience within the Compliance team of a UK Financial Services firm.
- Good understanding of rules applying to UCITS and AIFs in the UK.
- Good regulatory knowledge and experience of FCA rules and practical application.
- The ability to carry out well-structured investigations, monitoring or project work with clear objectives and findings.
- Some awareness of Legal & General’s business model and strategy.
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, at least 25 days’ holiday (with potential to rise to 26 days), 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.
As a company, to be one of the world's largest Asset Managers, homebuilders, pension providers and insurances brands, we are diverse by our very nature. And we're a company that wants to use our diversity and influence to make society better in the long term - for everyone. To do this we need to be a company that welcomes everyone, where everyone can succeed. That means we're committed to building an inclusive culture in L&G where we can all perform at our best, no matter who we are, what we do or where we do it. So whoever you are, wherever you are, whatever your story, we'd love to hear from you.
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.
Our commitment to Equal Opportunities
We’re an equal opportunities employer and welcome applications from all suitably qualified persons regardless of their race, sex, disability, religion/belief, sexual orientation, gender identity or age.
Does this opportunity excite you but you’re not 100% sure if you meet all the requirements for the role? Or are you concerned that ‘normal’ office hours aren’t possible given your personal circumstances? We’re aware that candidates, especially women, can be put off from applying for a job unless they tick every box, or candidates who are parents or have other caring responsibilities may not think they can achieve the flexibility they need. If this is you, we’re keen to connect; and whilst we can’t accommodate every flexible working request, we’ll try to find a practical solution. So why not apply?
How to find out more
If you’d like more information about this opportunity please contact Khalifa Mustapha at Khalifa.Mustapha@lgim.com (LinkedIn: https://www.linkedin.com/in/khalifa-mustapha-81579a68/). Please note direct applications via email cannot be accepted for this role; only applications submitted through our careers website will be considered.