Advisory:

• Support the Head of Compliance and senior colleagues in responding to day-to-day compliance queries.
• Undertake research and analysis and prepares clear, high-quality first drafts of advice, guidance and other materials for review and sign-off by senior members of the Compliance team.
• Build and maintain a practical understanding of relevant regulatory requirements and knows when matters should be escalated.

Investment-related compliance:

• Support the Head of Compliance and senior colleagues on investment-related compliance matters, including regulatory research, monitoring, documentation and the preparation of draft advice and communications.
• Develop and maintain an understanding of the regulatory framework relevant to LCP’s investment-related activities, escalating matters where appropriate.

Financial Crime Prevention:

• Support the delivery of LCP’s financial crime prevention controls, including reviewing customer due-diligence and AML documentation, and ensuring initial and ongoing sanctions screening is undertaken. Assists with financial-crime queries from the business, escalating complex, higher-risk or sensitive matters to the Head of Compliance or other senior colleagues.

Reporting:

• Assist the Head of Compliance with the drafting and preparation of reports for senior management and external regulatory bodies as appropriate.
• Maintain a clear and appropriate audit trail for the figures, data and supporting evidence used in reporting.

External relations:

• Support the Head of Compliance, as required, in managing relationships with external bodies, including the IFoA, FCA, external auditors and other regulators.

Essential experience and skills requirements:

• Relevant compliance, regulatory or financial-services experience, with a number of years experience, depending on relevance and breadth of the experience.
• Experience of compliance monitoring, internal reviews, controls testing, regulatory research or reporting.
• Ability to analyse regulatory requirements and produce clear, well-structured written work.
• Sound judgement, with excellent attention to detail and an ability to identify when issues need escalating.
• Confidence working collaboratively with colleagues across different business areas.
• Ability to manage and prioritise a varied workload, deliver high-quality outputs to deadlines, and maintain clear records and audit trails.

Desirable experience and knowledge:

• Experience of investment-related compliance (asset management and/or institutional investment advice), investment-business regulation or regulated professional-services environments.
• Exposure to financial crime prevention, including AML, sanctions and/or related controls.
• Awareness of FCA and IFoA regulatory requirements.
• Experience reviewing financial promotions, websites, client communications or marketing materials.

What’s in it for you?

Take a look at our and Career stories pages to see why our people love being here! As well as joining a multi-award winning, fun, collaborative, people first organisation where your personal and professional skills will be developed to make you the best you can be, we offer an attractive benefits package designed to promote your overall wellbeing so that you are able to perform to your full potential both in and out of work. Currently our core benefits package includes:

For you:

• Professional study support (where applicable)
• Access to our internal Wellbeing, LGBTQ+, Multicultural and Women’s networks

For your family:

• Life assurance
• Income protection
• Enhanced maternity/paternity/adoption and shared parental leave

For your health:

• 26 days annual leave (pro-rata for part-time working) plus bank holidays (most of which can be taken flexibly!) with options to buy & sell holiday
• Private medical insurance
• Discounted gym memberships, critical illness and dental insurance through our flexible benefits
• Eye care vouchers
• Cycle to work scheme
• Digital GP services

For your wealth:

• Competitive pension scheme
• Discretionary bonus scheme
• High street discounts
• Season ticket loans

For others:

• Volunteering opportunities

For the environment:

• Electric vehicle salary sacrifice scheme (qualifying period applies)

And much more!

We continuously strive to build an inclusive workplace where all forms of diversity are valued, including age, background, disability, gender, gender identity, gender expression, race, religion or sexual orientation.

LCP is committed to making our opportunities accessible to all and would welcome you getting in touch to let us know if an adjustment can be made to help with your application. This may be extra time for assessments, pre-interview site visits, interview structure or questions, or asking us about building accessibility. Whatever it may be, please get in touch via our dedicated email address - support@lcp.com to discuss how we can support you with your application.

Recruitment agencies

LCP operates a Preferred Supplier List (PSL) for recruitment agencies which is reviewed annually. We do not accept unsolicited CVs from agencies who are not part of our current PSL. LCP only pay agency fees where we have a signed agreement in place, and the agency has been instructed by a member of our recruitment team to supply CVs via the Applicant Tracking System (ATS) for a legitimate, open vacancy. If this process is not adhered to, LCP reserve the right to contact these candidates directly and have discussions with them without paying any agency fees. We do not pay agency fees when speculative and unsolicited CVs are submitted to any employee or Partner at LCP.