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Chief Compliance Officer

Company: Legal & General Investment Management America
Location: Chicago
Posted on: January 27, 2023

Job Description:

Overview
Reporting to the General Counsel, the CCO will be responsible for managing all compliance workflows for LGIMA, including regulatory filings and regulatory engagement, and assisting the LGIMA Leadership Team in maintaining a culture of compliance that protects LGIMA and its clients. -
Responsibilities


  • Provide strategic advice to senior business leaders on compliance matters
  • Lead compliance program, including responsibility over compliance documentation (Compliance Manual, Code of Ethics, Policies and Procedures), compliance testing and monitoring program (including forensic testing and employee conduct monitoring), employee compliance training, the Annual Review and mock examinations
  • Lead all regulatory reporting and engagement matters, including all regulatory examinations and reporting to the Securities and Exchange Commission, the Commodities Futures Trading Commission, the Department of Labor, the Financial Industry Regulatory Authority and the Ontario Securities Commission ("OSC")
  • Lead the marketing compliance, including compliance oversight of all marketing materials and RFPs
  • Represent LGIMA within LGIM Compliance and advise on U.S. compliance matters having a global impact as necessary
  • Coordinate with LGIM Compliance on global compliance matters and workflows that affect LGIMA, including Financial Crime, Global Compliance Monitoring and Compliance Surveillance
  • Perform regulatory research and analysis as necessary
  • Support the Legal and Risk functions as necessary
  • Present to Executive Committee and Board as necessary
  • Assist the LGIMA Leadership Team in maintaining and ensuring a "culture of compliance" of all staff

    Qualifications

    • A minimum of 10 years of asset management industry compliance experience required
    • Experience with investment adviser, investment fund/investment company and ERISA regulatory matters and filings required
    • Experience with mutual fund and broker-dealer regulatory matters and filings preferred, but not required
    • Experience engaging directly with regulators required
    • Experience managing direct reports required
    • Executive presence and executive voice 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
    • Ability to produce and present effective presentations and training sessions required
    • Licensed with OSC or willingness to sit for Canadian PDO exam within six (6) months required
    • Preference for candidates that can serve as Broker Dealer CCOs because they have passed the SIE exam or hold a Series 7, Series 14 or Series 24, but not required

      EOE Statement
      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).

Keywords: Legal & General Investment Management America, Chicago , Chief Compliance Officer, Executive , Chicago, Illinois

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