Compliance Officer - 18 month FTC

The role of the Legal & Compliance team is to establish, implement, maintain and monitor on behalf of the Firm’s Governing Board and Management Board, adequate policies and procedures sufficient to ensure the Firm’s compliance with its obligations under the regulatory systems in which it operates and to counter the risk the Firm may be used to further financial crime. In addition, the team provides support to new business initiatives and advises on day to day issues which may arise., Senior member of the Compliance team reporting directly to the Head of Compliance. The role will be acting as a an ‘epert’, ensuring LGT is ahead of the curve with changes and developments within ESG regulatory landscape, this includes but is not limited to SFDR and SDR. As a new role within the business, this is an opportunity to shape the position and develop your skillset accordingly working with senior stakeholders to influence policy, systems and controls related to the ESG regulatory landscape., * Provide proactive advice and guidance to internal stakeholders on ESG regulation, industry standards and other requirements. Internal stakeholders include portfolio managers, research analysts, front office representatives and other colleagues.

• Identify new ESG regulatory or industry developments and analyse the resulting impact on the business.

• Ensure the organisation’s sustainable initiatives align with these regulations, including monitoring firm’s approach to conducting due diligence on sustainable investments.

• Contribute to the development of the firm’s sustainability risk framework, including development of appropriate MI/KRIs.

• Develop and update internal policies and procedures and related controls to ensure compliance with ESG regulations.

• Establish and maintain engagement with LGT Group colleagues, clients, industry professionals and regulatory authorities when needed.

• Oversee the preparation and submission of required reports and disclosures under relevant regulations, including but not limited to SDR, SFDR and TCFD.

• Confirm the inclusion of necessary information in marketing materials and website, whilst reviewing for anti-green washing. Establish processes for ongoing monitoring of compliance with Monitoring subject matter e

• perts on sustainable investing regulations.

• Develop training programs to educate internal teams on sustainable investing regulations.

• pert knowledge on ESG related regulations gained through similar roles at other firms

• Good understanding of the wealth management business

• Knowledge and understanding of fund and portfolio management and regulatory knowledge of UCITS and AIFMD requirements is a strong advantage.

• Industry or professional Compliance qualification desirable.

Other skills, competencies and attributes:

• Motivated and conscientious with strong interpersonal skills. E

• cellent organisational skills, including the ability to prioritise and meet deadlines.

• Ability to communicate clearly and succinctly, tailoring communication, whether written or verbal, to the appropriate audience.

• The ability to work both independently but as part of a team.

• Team player who supports other members of the wider Compliance, Legal and Risk Teams as well as those across the business.