Responsibilities

Advice, support and assist SGLB and SGIL, including compliance advisors of the various business and support functions, on matters related to DFA Title VII and on other topics depending on availability.

• Proactively providing compliance advice and answering compliance queries.
• Overseeing complaint handling investigation and resolution.
• Providing compliance opinion as part of New Product Committees.
• Reviewing marketing materials and ensuring they are compliant (when required).
• Establishing and maintaining a constructive, open relationship and dialogue with stakeholders in business unit and support unit.
• Participating in projects to ensure that SGLB and SGIL are prepared for any required changes as a result of new regulatory developments or UK/EU divergences.
• Assessing the level of regulatory and reputational risks associated with SGLB/SGIL transactions, projects or products and escal...