Job Purpose:

  • The Compliance Manager vacancy is within the LGIM’s Compliance Department, which has responsibility for seven FCA regulated firms covering investment management, property fund management and pension assets in separately managed accounts, UCITs, OEICs, SiCAVs, ACS, AIFs, ETFs, and unit linked insurance contracts
  • The department is led by the Chief Compliance Officer who reports to the Chief Risk Officer, with an additional functional reporting line into the Group Conduct Risk
  • The principal responsibilities of the Compliance team are divided between four Senior Compliance Managers in London who report to the CCO, whose responsibilities are aligned to particular business activities to provide a focussed business compliance service.  There are additional reporting lines to the CCO from Compliance Managers in our HK, Dublin and Tokyo offices as well as a dotted line from the Chicago office CCO.

Your Responsibilities:

An additional Compliance Manager reporting to a Senior Compliance Manager to advise in relation to a range of LGIM’s activities, which may include some or all of the following:

  • Private Credit
  • Infrastructure Debt
  • Property & liquid Investments
  • Management of AIFs and English Limited Partnerships
  • Publicly traded bonds and REITs

The Compliance Manager will be responsible for pro-actively ensuring that we continue to meet the highest standards of compliance within the business areas assigned:

  • Advise, challenge and monitor the first line’s risk taking activities: Form an independent view of the risks being accepted by Real Assets and/or LGIM providing effective challenge on regulatory and conduct business risks ensuring stakeholders are cognisant of their responsibilties
  • Be responsible for identifying risks to the business to ensure regulatory compliance through appropriate guidance and advice
  • Ensure that all regulatory principles, are embedded into risk management practices, so that identified risks and controls focus on good customer centric outcomes, and that business processes and controls deliver the required regulatory outcomes
  • Manage appropriate MI and identify and produce conduct risk metrics as required
  • Demonstrate and employ regulatory knowledge by providing interpretive guidance and assistance in managing regulatory risk
  • On occasion, assist with planned and ad hoc monitoring activity and ensure it is carried out in accordance with the monitoring procedures and that all issues identified are properly reported
  • Together with the senior management team, lead,  motivate  and  develop  the  compliance team  to  maximise   their  potential,  their  professional knowledge   and  their  contribution   to  the  business
  • Attend Boards, Committees and management meetings, as required, to provide appropriate advice and guidance to the governing bodies.

Skills and Qualifications:

  • Challenge: Provides independent, informed, timely and objective challenges to the Real Assets businesses in relation to identification and management of key risks, and ensuring their business activities are within the risk appetite set down by the Board
  • Leadership: As a member of the compliance team, provide leadership, vision and         direction for an effective LGIM compliance environment and infrastructure.  Lead,  motivate     and  develop  the wider compliance team  to  maximise their  potential, their professional knowledge and their contribution to the business
  • Expertise: Understanding of the regulatory requirements and rules, and conduct risks relevant to Real Assets and the Group and on the processes for managing such risk
  • Advice: Guides the Real Assets and LGIM businesses on the formulation of conduct and regulatory risk strategies and policies across specific ares of Real Assets and LGIM as agreed, as well as the application of these to specific strategies, decisions or events
  • Analytical skills: Analyse regulatory developments and provide guidance where necessary through drafting compliance/regulatory reports to Boards, Committees, Senior Managers and stakeholders as required.  Demonstrate the ability to maintain a balance between a pragmatic,  commercial approach to compliance and regulatory matters whilst working to achieve the desired outcome for the businesses
  • Relationships:   Maintains  effective  working  relationships   with  internal  and  external   risk stakeholders,  such  as the Real Assets and LGIM executive  teams,  Group Internal  Audit and Group  Risk, and  effective liaison  with external  organisations, such as  the FCA, and other regulatory and relevant trade bodies.

Source: for more information click here.

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