Senior Compliance Manager, Fund

1 month ago

London, United Kingdom eFinancialCareers 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 clientsand 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; deliverresults 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.
**As part of a formal Compliance Transformation Programme, M&G are pleased to have on offer a number of senior Compliance Advisory positions. The recruitment of these senior roles supports the implementation of a new global operating model for the Asset ManagementCompliance Advisory team and ensures we have the right capability and capacity to effectively support the business and its growth agenda.**
**Key role specific accountabilities**:

- To support the MGG Head of Product & Distribution Compliance Advisory through provision of Compliance advisory and oversight activities in relation to Fund & Client Operations Compliance.
- Lead, direct and manage the activity of the Fund & Client Operations Compliance Advisory team.

**Engagement**:

- Support the communication and implementation of the strategic direction in relation to Fund & Client Operations Compliance.
- Demonstrate a clear understanding of business priorities and expectations.
- Represent Fund & Client Operations Compliance on agreed committees / forums and cascade information to wider Compliance teams, as appropriate.
- Build and maintain strong collaborative relationships with internal stakeholders.
- Develop professional relationships with industry peers to discuss regulatory and industry best practice relating to Fund & Client Operations Compliance.

**Team Management**:

- Day to day management of direct reports, providing training plans, career development, mentorship and resource planning.
- Motivate and lead by example, setting an exemplary standard of personal conduct and integrity.

**Fund & Client Operations **Compliance **Advisory**:

- Responsible for provision of high quality proactive and reactive advice on Fund & Client Operations Compliance helping the business in meeting regulatory expectations and good industry practice.
- Provide Compliance advice on Fund & Client Operations related processes including but not limited to Assessment of Value, CASS, fund & client reporting, TA oversight, complaints, performance, liquidity and business expansion.
- Provide and support training on Fund & Client Operations Compliance.

**Fund & Client Operations **Compliance Oversight**:

- Lead and motivate the Fund & Client Operations Compliance team in their implementation of the Advisory operating model ensuring appropriate training, processes and procedures are in place in order to provide high quality Compliance advisory services tothe business.
- Ensure Fund & Client Operations Compliance is sufficiently engaged with the first line business units in order to drive the delivery of Compliance advice in a proactive manner.
- Participate in regional and global initiatives and projects related Fund & Client Operations Compliance.
- Provide Compliance advice and support in the integration of regulatory development applicable to Fund & Client Operations.
- Provide input to the Compliance Monitoring & Assurance Team regarding Fund & Client Operations Compliance activities.
- Manage Audit / Compliance Monitoring Actions related to Fund & Client Operations Compliance, ensuring they are completed within the assigned deadlines.

**Key knowledge, skills and experience**
**Leadership and Influence**:

- An ability to lead, develop and motivate a team with a varied and complex Fund & Client Operations Compliance Advisory workload, including ensuring there are appropriate procedures and reporting mechanisms are in place.
- An ability to work closely with senior stakeholders and being able to influence effectively.
- Significant experience in Fund & Client Operations Compliance advice in the development and expansion of asset management.
- An ability to support and develop a positive Compliance culture across the organisation
- 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 operates.
- Sound understanding of the wider global financial services sector, in particular in relation to relevant competitors and product & services.

**Regulatory Knowledge**:

- A strong understanding of the regulatory framework that underpins the UK and EU and general knowledge and understanding of the US and Asia-Pacific regulatory environments applicable to asset management, in particular as it relates to Fund & Client Operationsactivities.
- Detailed knowledge of Fund & Client Operations related regulations including but not limited to FCA, SYSC, COBS, COLL, SUP, MiFiD, MiFIR, EMIR, AIFMD, CASS, DISP.

**Qualifications**:

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

Recruiter: Helen Simons
Work Level: Manager / Expert
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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