Compliance Manager

LegalAndGeneral; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading financial services company is seeking a Compliance Manager in London. The role involves providing compliance oversight, advising on marketing regulations, and ensuring alignment with customer outcomes for UK funds. Candidates should have a strong understanding of UCITS and AIF regulations and experience presenting reports to senior management. Flexible working options are available.

Benefits

Performance-related bonus plan

Generous pension contribution

Healthcare Plan

25+ days holiday

Electric car scheme

Discounts on products and services

Qualifications

• Strong knowledge of UK fund management activities.
• Experience with FCA rules and compliance application.
• Ability to devise compliant solutions in practical scenarios.

Responsibilities

• Provide compliance advice to marketing teams on fund promotion.
• Review marketing materials for compliance with regulations.
• Advise on product development and alignment with conduct risk.
• Report necessary matters to product providers and attend meetings.

Skills

Understanding of UCITS and AIF Product regulations

Knowledge of UK financial promotion rules

Ability to analyze regulatory risks

Experience presenting to management

Job description

Overview

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Company Description

Legal & General (L&G) is a leading UK financial services group and major global investor.

We've been safeguarding people's financial futures since 1836, and strive to build a better society, while improving the lives of our customers and creating value for shareholders.

We are one of the world's largest asset managers and provide powerful asset origination capabilities. Together, these underpin our retirement and protection solutions: we are an international player in pension risk transfer, in UK and US life insurance, and in UK workplace pensions and retirement income.

L&G Asset Management 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 Compliance Manager to join us. In this role, you will will work as part of the Compliance team to provide high quality advisory compliance support to the Asset Management UK Product Provider Oversight team.

You will be required to provide independent compliance oversight, advice, guidance and training to Asset Management\'s businesses, and specifically for Asset Management\'s UK product providers and their range of UCITS and NURS funds, alternative investment funds and unit linked pension funds. The role will be working with an expert in these issues and will require good skills in preparing papers, presentations and data visualisation tools

What you\'ll be doing:

• Providing written and oral compliance advice to Asset Management\'s Marketing and Distribution teams on the promotion and distribution of UK collective and pension funds
• Reviewing marketing materials and advising on marketing and disclosure requirements for UK funds within the Asset Management group
• Participating in regulatory and business-led projects by assessing regulatory requirements, attending working meetings, and preparing compliance reports
• Advising on product development, management, and distribution to ensure fair customer outcomes, regulatory compliance, and alignment with conduct risk appetite
• Maintaining up-to-date knowledge of regulatory developments and assisting with responses to consultation proposals and regulatory change initiatives
• Reporting necessary matters to product providers and attending relevant meetings as required
• Building strong working relationships with business areas and risk/compliance teams to coordinate responses to regulatory developments affecting UK funds
• Supporting the CCO and compliance colleagues by developing tools, promoting a strong compliance culture, and providing ad hoc team support

Qualifications

Who we\'re looking for:

• Good understanding of rules applying to UCITS and AIF Product Providers in the UK
• Good knowledge of UK financial promotion and marketing rules, guidance and practice
• Ability to analyse and advise on emerging regulatory risks and how they might impact our business
• Regulatory knowledge and experience of FCA rules and practical application
• Good knowledge of UK products and fund management activities
• Experience of interpreting and applying regulatory rules to practical scenarios and helping to devise compliant, commercially acceptable solutions
• Strong positive attitude and high energy - you will be part of a high performing global team of compliance professionals
• Experienced in presenting reports to senior management and clients

Benefits

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
• Healthcare Plan (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 (permanent employees only)
• 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

At L&G, we believe it\'s possible to generate positive returns today while helping to build a better future for all.

If you join us, you\'ll be part of a welcoming, inclusive culture, with opportunities to collaborate with people of diverse backgrounds, views, and experiences. Guided by leaders with integrity who care about your future and wellbeing. Empowered through initiatives which support people to develop their careers and excel.

We care passionately about outcomes rather than attendance and are therefore open to discussing all kinds of flexible working options including part-time, term-time and job shares. Although some roles have limited flexibility due to customer demand, we accommodate requests when we can.

It doesn\'t matter if you don\'t meet every single criterion in this advert. Instead, think about what you excel at and what else you can bring in terms of strengths, potential and connection to our purpose.

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