Head of Compliance Monitoring

2 weeks ago

London, United Kingdom M&G plc Full time

At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities. To help us achieve our vision we’re looking for exceptional people who live our values of care and integrity and who can inspire others; embrace change; deliver results and keep it simple.

We will consider flexible working arrangements for any of our roles and also offer work place accommodations to ensure you have what you need to effectively deliver in your role.

Context for the role

The Head of Compliance Monitoring - Asset Management is part of the Compliance Leadership Team for MGG, responsible for the formulation and delivery of the Compliance Monitoring Plan (“CMP”) for M&G’s Asset Management business

Purpose

Reporting to the Chief Compliance Officer - MGG, the Head of Compliance Monitoring - Asset Management will lead the MGG Compliance Monitoring team, with a directly managed team based in the UK and indirectly managed resources in other global locations across M&G’s asset management footprint.

Key role specific accountabilities

Responsible for a range of activities including:
Compliance Monitoring
- Development and delivery of the Compliance Monitoring Plan for MGG
- Coordinating with other second line and third line teams on formulation and ongoing maintenance of the CMP as part of M&G plc’s Integrated Assurance Plan
- Supporting the regulated compliance officers in M&G’s global Asset Management business in the discharge of their local regulatory oversight accountabilities

Engagement
- Providing strategic input as a member of the MGG Compliance Leadership Team
- Building and maintaining relationships with senior stakeholders and their teams in the first, second and third lines of defence

Team Management
- Leading the UK-based Compliance Monitoring team, and indirectly manage resources in other global locations, including ensuring that the team has sufficient resources and procedures to enable efficient delivery of the CMP.
- Day to day management of direct reports, providing training plans, career development and mentorship.

Key knowledge, skills and experience

This role is ideally suited to someone with a Compliance background who can demonstrate the following skills and experience:
Leadership and influence
- Seasoned Compliance senior leader, with a strong track record of leadership within complex, global financial services businesses
- Extensive experience of building close partnerships with senior stakeholders and being able to influence effectively in the formulation and delivery of a compliance monitoring plan
- An ability to support and develop a positive Compliance culture across the organisation
- Experience of leading a geographically dispersed second line Compliance team within an international business, managing, coaching and developing capability.
- Experience of attendance at and/or reporting to governance forums such as boards and senior level committees.

Industry knowledge
- An awareness and understanding of the wider business, economic, regulatory and market environment in which M&G plc’s asset management business operates.
- Strong understanding of the typical operating model applicable to global asset management businesses, including use of third party service providers
- Experience engaging with peers and participating in industry networks on common topics and areas of concern is desirable

Regulatory knowledge
- In-depth understanding of the regulatory framework in the UK applicable to asset management, including distribution, fund management, investment management and operations
- General knowledge and understanding of the EU, US and Asia-Pacific regulatory environments applicable to asset management
- Understanding of developing regulations related to asset management globally, including ESG/Sustainability, Consumer Duty and similar requirements and global senior management accountability regimes

Other skillsets
- Experience in the use of technology and similar tools to deliver compliance monitoring reviews and ongoing oversight activity

Desirable Qualifications
- Educated to degree level, or equivalent qualifications/experience and/or professional qualification

Experience Level: Integration leader

Recruiter: Helen Simons

We have a diverse workforce and an inclusive culture at M&G plc, underpinned by our policies and our employee-led networks who provide networking opportunities, advice and support for the diverse communities our colleagues represent. Regardless of gender, ethnicity, age, sexual orientation, nationality or disability we are looking to attract, promote and retain exceptional people. We also welcome those who take part in military service and those returning from career breaks.

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