*as at 31 December 2016, including derivative positions and advisory assets. These figures include assets managed by LGIMA, an SEC Registered Investment Advisor. Department Info
LGIM manages fixed income, equity, multi-asset, liability-driven investment, property and alternative solutions on behalf of its clients. Located across the globe, our clients include institutional pension funds, financial institutions, local authorities and sovereign wealth funds. In order to meet the complex and evolving investment needs of our clients, we focus on remaining at the forefront of investment product innovation and maintaining our reputation as experts across all asset classes.
We are an equal opportunities employer and welcome applications from all suitably qualified persons regardless of their race, sex, disability, religion/belief, sexual orientation or age. Job Duties
As a key 2nd line of defence, the LGIM's Global Compliance functions are responsible for (i) the provision of regulatory advice to all relevant areas of LGIM's businesses, (ii) the monitoring of all business activities to measure compliance with applicable regulations and the LGIM's risk management framework, (iii) the creation and implementation of appropriate regulatory policies and procedures and (iv) the management of LGIM's relationship with all of its regulators.
Risk and Control Objective
- Develop and maintain a strong and competent Compliance function in LGIM Asia, making regular compliance and risk reports to the Head of LGIM Asia and Board of LGIM Asia, LGIM's global committees such as the Risk and Compliance Committee and the Global CCO.
- Identify, evaluate and escalate regulatory and conduct risk issues to regional and global management, including through Management Committees and Board updates
- Take responsibility for ensuring compliance with regional regulatory requirements where licensed activities are conducted.
- Adopt and adapt global policies and standards as appropriate.
- Maintain good relationships with relevant regulatory authorities where licensed activities are conducted. Escalate issues to the Head of LGIM Asia, LGIM Asia Board and CCO, as required.
- Build strong relationships and work closely with LGIM's stakeholders in supporting the LGIM Asia's business.
- Provide regulatory, financial crime and conduct risk advice and training to the relevant LGIM Asia's business areas, and where required, to other LGIM affiliated entities, on wider Asian requirements.
- Conduct non-conflicted monitoring of LGIM Asia, and work with the UK monitoring and surveillance team to ensure appropriate monitoring is carried out on Asia activities.
- Provide support and oversight over the LGIM's Operational Risk Framework within LGIM Asia.
- As a member of the LGIM's Global Compliance team, work closely with colleagues to maintain an effective global compliance function.
- Ensure that all activities and duties are carried out in full compliance with relevant regulatory requirements, LGIM's Risk Management Framework and all relevant internal policies and procedures
- University undergraduate degree required
- A proven record of working in asset management/regulator or other relevant sectors, in a Manager function.
- Demonstrating deep understanding of both the regulatory framework in the Asia Pacific region and products traded with respect to the LGIM Asia business
- Sound knowledge of marketing rules in the Asia Pacific region
- Experience of working for or dealing with regulator/external legal counsel would be beneficial
- Practical and independent thinker with ability to understand complex transactions, raise challenge appropriately and explain compliance issues clearly and concisely
- Excellent problem solving and communication skills
- Sound decision-making skills balancing commercial needs with the need to maintain a strong control infrastructure
- Demonstrates strong ownership, drive for results, proactiveness and resilience.
- Able to collaborate and contribute to building a global compliance function.
- Team player who thinks holistically
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, 25 days' holiday, 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, as well as a 12% car allowance scheme, your hard work will be rewarded when you join us.