We are hiring a Compliance Associate to join our busy team. You will work as part of the Compliance Surveillance team and the wider Compliance team to provide high quality compliance support to the LGIM(H) regulated entities. This will entail undertaking compliance surveillance tests, producing management information and providing support on Compliance projects.  

You will also keep up to date with emerging regulatory issues and risks and seek to understand the businesses under scope to identify the impact on and changes to the conduct risk profile of these businesses.

• Contributing to the creation, implementation and delivery of a comprehensive, risk-based Compliance Surveillance Programme covering all businesses under scope reflecting all relevant regulatory requirements impacting these businesses.
• Taking responsibility for allocated business areas, and tasks, represent the Compliance team in business meetings, as required.
• Identifying regulatory issues and risks while carrying out effective trend analysis and surveillance tests delivered within the deadlines set and ensure mitigating actions to resolve adverse findings are carried out in a timely fashion.
• Helping produce clear and to-the-point management information for various groups, committees and team meetings.  
• Maintaining detailed knowledge of relevant rules and legislation, analyse developing regulation for impact on the businesses under scope, work with business areas to meet any new regulatory requirements, during normal interactions with these business areas, as part of the Compliance Surveillance Programme’s resolution of findings and in the course of Compliance projects.
• Supporting the automation and development of Surveillance tests, ensuring adequate oversight is provided for identified risk areas.
• Assisting with data collation and analysis for regulatory requests and internal investigations
• Efficiently engaging and work with other Compliance and Risk team members, for example via training or exchange of information.

• Knowledge of Market Abuse Surveillance Software, Tableau, Bloomberg, Best Ex/TCA systems, VBA
• Context and understanding of regulatory requirements in the asset management industry
• Good analytical skills and industry awareness including some knowledge of emerging regulation to identify the impact on the business areas and developing strategies.
• Ability to work proactively with business areas to meet all new regulatory requirements.
• Ability to demonstrate a proactive approach while contributing to the development and implementation of a comprehensive, risk-based compliance monitoring programme for each business area which reflects relevant regulatory requirements impacting the business. 
• High attention to detail and ability to work effectively, both individually and within a team, to deliver high quality monitoring reviews on time and ensuring mitigating actions are followed up comprehensively and on a timely basis.
• Ability to maintain effective relationships with management and external parties, such as suppliers and outsourcers, to enable the delivery of practical solutions to problems or the implementation of improved systems, processes or controls. 

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.