Junior Compliance Manager AFI

Legal & General 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.

We’re recruiting for a Junior Compliance Manager to join us. 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. Supporting 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. 

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
• Administering the marketing material review and approval system. Reviewing UK and international materials and support the approval of financial promotions across EMEA for Retail and Investment Professional audiences
• Acting as marketing compliance champion. Supporting the senior managers in preparing and conducting compliance training for team members relating to regulatory requirements and industry best practices
• 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
• Managing the first line compliance process to ensure that customers are provided with clear information, before, during and after the point of sale. Ensuring compliance with all Consumer Duty accountabilities
• Working ing 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 relationships with compliance team to ensure optimum linkages between first and second line of defence

Who we're looking for:

• Undergraduate degree in appropriate discipline
• Good regulatory knowledge including FCA COBS rules on financial promotions. 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
• Ability to analyse and assess the current state, identify gaps, and develop plans for continuous improvement.

ever 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   
• Private medical insurance (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 
• 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 

Legal & General is a leading financial services group and major global investor, named Britain’s Most Admired Company in 2023, for the second year running. Rated top in our sector and top for inspirational leadership, we have a strong heritage and an exciting future.

We aim to build a better society for the long term by investing our customers’ money in things that make life better for everyone.

If you join us, you’ll be part of a welcoming 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 strive to be open, mindful and inclusive, so are always willing to discussing flexible working arrangements and reasonable accommodations for candidates with specific needs.

If you’re open to find out more, we'd love to hear from you.