Legal & Compliance Officer recruitment

Roles responsibilities 

•Principal responsibility for ensuring best practice legal, regulatory and compliance framework is defined, implemented and actively managed

•Definition and active management of the business Risk Management Process

•Definition and active management of the business’ Investment and Operational compliance framework, to include pre and post trade compliance monitoring

•Working with HR and TPIL management to implement appropriate People Compliance Policies

•First line support for Legal / Product compliance issues and owner of relationships with TPIL external counsel and advisors

•Provide intelligence updates to TPIL Teams on Compliance and Regulatory change, and maintain pipeline of potential changes and impacts

Candidate Profile

•Legal and compliance specialist with extensive experience of multi asset class Investments within a UK Investment Management environment

•Strong understanding of Regulatory and Compliance processes and how they operate across the Investment Process

•Demonstrable experience of running day to day compliance environment, including Modelling and Dealing, Pre/Post trade Compliance, Risk Management

•Ability to work as trusted advisor to the business, and to manage effective relationships with stakeholders and external advisors/counsel

•Direct working knowledge of the UK pension regulatory environment

•Direct working knowledge of Investment legalities and contract law

•Ideally part or full legal qualification

•Degree educated

Behavioural Skills