Company Description

The world of investment is changing. Our vision at Legal & General Investment Management is to create a better, more sustainable future through responsible investing. We work in partnership with our clients around the globe to deliver positive long-term outcomes, while rising to the challenges of a rapidly changing world. Our clients include institutional pension funds, financial institutions, local authorities and sovereign wealth funds. To meet our clients’ complex and evolving investment needs, our investment strategies cover a broad array of asset classes and styles, including equities, bonds, property and alternatives, as well as multi-asset funds. We’re focused on continuously innovating our investment products, maintaining our reputation as experts across all asset classes, and striving to build a more responsible and sustainable future.

Job Description

Salary: £50,000 - £55,000 + competitive bonus and benefits

We are currently hiring a Junior Compliance Manager to join our team.

In this role, you will carry out and deliver compliance activities including contribute to the definition, implementation, and maintenance of marketing process to verify Marketing compliance with relevant financial promotion & regulatory requirements across UK & international markets.

You will support the Senior Marketing compliance managers with the review and update to existing compliance policies and procedures in line with applicable regulatory requirements and industry best practices. Working in partnership with the compliance team and key stakeholders, you will ensure a high level of governance in the approval of Marketing material.

What you'll be doing

• Supporting the Senior compliance managers with compliance reviews and updating of existing compliance policies and procedures in line with applicable regulatory requirements and industry best practices, working in partnership with the compliance team and key stakeholders 
• Administering the marketing material review and approval system. Review UK and international materials and support the approval of financial promotions across EMEA including AFI, ETFs, ICVCs and SICAVs for Retail and Investment Professional audience serving as first line of defence for marketing team.
• Acting as marketing compliance champion. Support the senior managers in preparing and conducting compliance training for team members relating to regulatory requirements and industry best practices to facilitate the creation and use of marketing materials.
• Working with the Senior compliance mangers to establish processes to monitor and test compliance with LGIM’s marketing-related compliance policies and procedures, and regulatory requirements on a risk assessed basis.
• Helping refine and prepare regular risk control assessments.
• Managing first line compliance process to ensure that customers are provided with clear information, before, during and after the point of sale.
• Working with internal stakeholders to ensure the team’s procedures and associated Controls Self Certifications (“CSCs”) are accurate and up to date; ensuring efficiencies found and implemented where possible
• Managing relationship with compliance team to ensure optimum linkages between first and second line of defence.
• Ensuring compliance with all Consumer Duty accountabilities, including the responsibility to produce and maintain clear, fair, and non-misleading marketing collateral and client-facing material. Additionally, ensure that divisional standards are upheld, and any concerns are promptly escalated to senior management for appropriate action.

Qualifications

What we're looking for

• Must have previous Asset Management within Compliance
• Financial promotions or advertising standards background
• Good regulatory knowledge including FCA COBS rules on financial promotions MiFID II, UCITS IV, FUND, CASS, AIFMD, GDPR, KIID relevant rules.
• Strong understanding of Active Fixed Income.
• Previous experience of approving financial promotions for a financial services firm in UK, Europe and Asia for both retail and investment professional audience, including raising challenges on content, presentation and process.
• Ability to analyse and assess the current state, identify gaps, and develop plans for continuous improvement.
• Ability to lead meetings, communicate succinctly with senior stakeholders and influence.

Additional Information

When you commit to Legal & General, we’ll commit to you too. That means we’ll recognise and reward your hard work, your performance and your contribution.

If you join us, you’ll get access to some great benefits, including private medical insurance, at least 25 days holiday (excluding bank holidays), a generous pension scheme, life assurance, and Income Protection. You can participate in our electric car scheme, which offers employees the option to hire a brand new electric car through tax efficient salary sacrifice. We’re also proud to offer competitive family leave. 

You’ll have the opportunity to participate in our annual, performance-related bonus plan and valuable share schemes. And then there are the many discounts we offer that you can take advantage of – both for our own products and at a range of high street stores and online offerings. 

The brand with the brolly is choosing today to change tomorrow.

Since 1836, we’ve grown to become one of the world's largest asset managers, homebuilders, pension providers and insurance brands. 

We’re all here to improve the lives of our customers, build a better society for the long term, and create value for our shareholders - helping to shape a better future for society and the planet.

We need people who share our ambitions, agility and entrepreneurial spirit to help us do it.

At L&G, you’ll find a balance that helps you be your best. Empowered by hybrid working, we’re supported by technology and workplaces that enable us to work effectively wherever we are. We come together in offices to collaborate and connect, and use time at home for individual, focused activities. And, when we achieve great things, we celebrate our success and reward strong performance.

Today, there’s over 10,000 of us, working towards our mission, with plenty of opportunities to grow your career as we grow L&G. Will you join us?

Great minds don’t have to think alike, so we welcome voices from all backgrounds. Bringing together people with different life experiences helps us build empathy with our customers and drive innovation.

We don’t just talk about it, we actively promote diversity and equitable opportunities for all. That means our employment decisions are made without regard to race, colour, religion, national or ethnic origin, sex, sexual orientation, gender identity or expression, age, disability or protected veteran status. In fact, we embrace every dimension of diversity to reflect the customers and communities we serve.

We think it’s important to create an inclusive environment where we can all belong, contribute and drive progress, where you can develop and grow, and be empowered. We want you to use your voice to help us build a better tomorrow.

We all work differently, and have different needs, which is why. we’re always open to discussing flexible working arrangements. Likewise, we’re committed to finding reasonable accommodations for candidates with specific needs during our recruiting process.

So whoever you are, wherever you are, whatever your story, we'd love to hear from you.