Investment Oversight Specialist
7 days ago
We are seeking a highly skilled and experienced Investment Oversight Specialist to join our team at Legal & General. As a key member of our Investment Oversight team, you will play a critical role in delivering 1st Line assurance control improvements and Management Information to our Chief Investment Officer and senior management.
Key Responsibilities- Regulatory Compliance: Ensure that regulatory developments are embedded into our operating environment and impacted teams adjust their arrangements (policies and procedures) as required.
- Policy Review: Review policies, procedures, and other documentation relevant to Investment to ensure the correct balance of control is counterweighted with the needs of the business.
- Issue Identification and Remediation: Identify root causes of issues/errors and develop effective remediation plans to improve Investment processes and controls, mitigating breaches and improving the overall risk environment.
- Reporting and Analysis: Prepare trend reports, risk themes, and share findings and common issues with Investment teams to capture 'lessons learnt' and improve Investments-wide processes and governance.
- Risk Framework Compliance: Support Investment teams in complying with the Risk Framework and performing the annual Risk and Control Self Assessment (RCSA).
- Operational Resilience: Represent Investment on the LGIM Operational Resilience forum and support Investment teams in achieving required maturity ratings for business continuity and important business services.
- Internal Audit and Compliance Support: Support Investment teams in preparation for Internal Audits & Compliance reviews.
- Process Design and Review: Ensure that teams are receiving enough 1st Line support in terms of process design and review from the Role Holder and the PDA team.
- Regulatory Knowledge: A breadth of regulatory knowledge, including a base understanding of the FCA High Level & Business standards, including PRIN, SYSC, COBS, and MAR.
- Investment Industry Knowledge: An understanding of the Investment Management industry, products, and investment structures, with an eye for detail and market experience to understand different asset classes and associated product ranges.
- Compliance or Risk Experience: Must have worked in Investment / Asset Management in a comparable Compliance or Risk role or have a proven track record in the role's core competencies, including compliance monitoring, audit, or process assurance experience.
- Collaboration and Communication: Able to demonstrate a collaborative approach with other teams to encourage engagement and a positive culture of compliance and risk management on the investments floor.
- Technical Skills: Must be able to demonstrate experience and competency in data visualisation tools and Excel, with Python experience being beneficial.
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