Head of Regulatory Oversight, Senior Compliance Manager
Legal & General Investment Management is one of Europe’s largest asset managers and a major global investor, with total assets of GBP 853 / EUR 1,027 / CHF 1,111 billion*. We work with a wide range of global clients, including pension schemes, sovereign wealth funds, fund distributors and retail investors.Throughout the past 40 years we have built our business through understanding what matters most to our clients and transforming this insight into valuable, accessible investment products and solutions. We provide investment expertise across the full spectrum of asset classes including fixed income, equities, commercial property and cash. Our capabilities range from index-tracking and active strategies to liquidity management and liability-based risk management solutions.*as at 30 June 2016, including derivative positions and advisory assets. These figures include assets managed by LGIMA, an SEC Registered Investment Advisor.
Head of Regulatory Oversight at Legal & General Investment Management Limited, with extensive experience in the Financial Services industry within hedge funds and medium to large investment management firms. Expertise in: systems implementation; redesign, implementation and maintenance of compliance monitoring programmes; Conduct Risk and Market Abuse frameworks implementation; regulatory and procedural advice (trading, operations, projects, etc.); regulatory change implementation (MAR, MiFID II); regulatory visits and examinations (FCA/ SEC/ SFC); due diligence visits; team development and management and conference panellist on monitoring, market abuse and Conduct Risk.