Senior Compliance Manager, Market Conduct

3 weeks 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 Investments Compliance Advisory through provision of Compliance advisory and oversight activities in relation to Investments Compliance Advisory, Market Conduct.
- Lead, direct and manage the activity of Investments Compliance Advisory, Market Conduct team.

**Engagement**:

- Support the communication and implementation of the strategic direction of the Investments Compliance Advisory, Market Conduct team.
- Demonstrate a clear understanding of business priorities and expectations.
- Represent Investments Compliance Advisory, Market Conduct team 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 Investments Compliance, in particular Market Conduct.

**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.

**Investment Advisory**:

- Responsible for provision of high quality proactive and reactive advice on Investments Compliance, in particular Market Conduct, helping the business meet regulatory expectations and good industry practice.
- Provide Compliance advice on Investments and Market Conduct related processes including but not limited to Best Execution, Investment Restrictions, Conflicts of Interest, Information Barriers, Wall Crossings, Restricted Dealing, Secondary Markets, Dealingand Execution, Trade and Transaction Surveillance and Communication Surveillance.
- Provide and support training on Investments Compliance and Market Conduct requirements.

**Investment Oversight**:

- Lead and motivate the Investments Compliance Advisory, Market Conduct 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 advisoryservices to the business.
- Perform the annual Market Conduct Risk Assessment ensuring the methodology continues to meet regulatory requirements, remedial actions are documented and tracked and key stakeholders engaged.
- Ensure Investments Compliance Advisory, Market Conduct 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 to Investments Compliance Advisory, Market Conduct.
- Provide Compliance advice and support in the integration of regulatory developments applicable to Investments and Market Conduct.
- Provide input to the Compliance Monitoring & Assurance Team regarding Investments and Market Conduct.
- Manage Audit / Compliance Monitoring Actions related to Investments Compliance Advisory, Market Conduct 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 Investments Compliance and Market Conduct 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 providing Investments Compliance and Market Conduct advice within the global asset management sector.
- 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.
- In depth understanding of Investments Compliance and Market Conduct within a global asset management business.

**Regulatory Knowledge**:

- A strong understanding of the regulatory frameworks that underpins the UK and EU and general knowledge of US and Asia-Pacific regulatory environments applicable to asset management, in particular as it relates to Market Conduct.
- Detailed knowledge of Investment related regulations including but not limited to FCA, SYSC, COBS, SUP, MAR, MiFiD, MiFIR, EMIR, SFTR and CSDR.
- Understanding of the developing Environmental, Social and Governance regulations related to Investment.

**Qualifications**:

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

Recruiter: Helen Simons
Work Level: Manager / Expert
Closing Date: 8th March 2023
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

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