Senior Compliance Officer - Conduct and Investments
Senior Compliance Officer primarily responsible for LGIM America’s Conduct Compliance, Surveillance, and Regulatory Reporting frameworks, while assisting the broader Compliance Team with ongoing compliance projects.
- Lead Conduct Compliance, including managing the Compliance Manual, Code of Ethics, and Policies and Procedures, conducting employee training, and handling employee compliance oversight and surveillance maters. Will coordinate on global Conduct Compliance matters with LGIM’s Head of Conduct Advisory
- Lead Investment Compliance framework, including market abuse surveillance, forensic testing, best execution testing, cross trade oversight, and other asset class compliance matters. Will coordinate on global Investment Compliance matters with LGIM’s Head of Conduct Advisory and on Surveillance matters with LGIM’s Head of Surveillance.
- Responsible for all regulatory reporting for LGIM America, other than Form PF and Form ADV Parts 2A and 2B, which are handled by the Product Compliance Senior Compliance Officer (given their Product and Marketing focus). Regulatory reporting includes SEC Form ADV Part 1, CFTC Form CTA-PR, CFTC Form 40, DOL forms, FINRA filings, and Canadian regulatory filings.
- Assist the LGIMA Compliance Team and LGIM Compliance Team with ongoing projects, as necessary, which may include regulatory engagement, email surveillance, marketing compliance, and ensuring that LGIMA has policies, procedures, systems and controls in place that support LGIM’s and L&G Group’s policies and regulatory requirements.
- Assist the GC/CCO in maintaining and ensuring a “culture of compliance” of all staff.
- A minimum of 7 years of asset management industry compliance experience required, with a specific emphasis on Code of Ethics management and employee surveillance, forensic testing, and regulatory reporting.
- Knowledge of investment adviser, investment fund/investment company, CFTC/NFA and ERISA regulatory framework required
- Knowledge of mutual fund and broker-dealer regulatory framework preferred, but not required
- Experience engaging directly with regulators required
- Experience managing direct reports required
- Ability to do risk-based compliance analysis, with a practical and commercial approach to problem solving, required
- Collaborative, team-oriented work ethic and commitment to building an inclusive and diverse team culture required
- Experience with influencing behaviors at all levels of an organization required
- Proven track record of delivering enhancements to process efficiency required
As an EOE employer, Legal & General Investment Management America will extend equal opportunity to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity, ancestry, national origin, age, disability, medical condition, genetic information, marital status, pregnancy, military status, and/or any other characteristic protected under applicable federal, state or local laws governing nondiscrimination in employment. (2020)