We are not your average financial services firm and our unique culture is just one aspect that makes us stand out from the crowd. We offer a supportive environment that encourages innovation and creativity whilst maintaining a healthy lifestyle balance. You will be joining one of Europe's leading Investment Management firms where you can expect real responsibility and recognition from day one. We are large enough to offer a wide variety of career opportunities, whist small enough to treat you as an individual and tailor training and development to your specific needs.
The team provides professional and timely Compliance advice to M&G's institutional asset management business (including any M&G regulated activities of M&G Real Estate, PPMG and PruCap) in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities
Day to Day
- Provide transactional and product regulatory advice to the investment management business
- Support the preparation and review process for US Regulatory Filings (Form ADV, Form PF)
- Participate in the delivery of team activities including:
- Advice and support to the business in relation to institutional business product regulation
- Regulatory rule interpretation including with UK and non-UK requirements (e.g. SYSC, COBS, COLL, FUND, US Investment Advisor Act etc.)
Wide-ranging Compliance advice to the front office and back office .(Including any M&G regulated activities of M&G Real Estate, PPMG and PruCap) (e.g. transactional regulation and market facing advice, market conduct, dealing, CASS and regulatory reporting advice)
- Supporting a range of projects (e.g. new fund / product launches and ad-hoc regulatory projects)
- Providing support in respect of initial licensing advice for new products.
- Client support activities (e.g. Request for Proposal ("RFP") input, client pitches and visits etc.)
- Support the due diligence process for the New Markets and New Instruments Working Groups and provide support to the compliance representative on the New Markets and New Instruments Management Groups.
- Adopt a creative approach to identify solutions to any challenges that may arise in executing the delivery of Compliance methodologies and approaches
- Assist in the delivery of regulatory change
Internal & External Relationships
- Assist in the review of regulatory content within training modules.
- Develop positive and professional working relationships within the Investment Management business, Risk, Legal, HR, Compliance and Group-wide Internal Audit departments
- Work closely with the Compliance Framework & Operations team and the Compliance Strategy & Regulatory Development team to understand the impact of forthcoming legislative / regulatory change and the need to update Compliance policies and procedures
- Be a role model for M&G culture and Compliance Department values within the team
Maintain relationships with external peers; understand how other firms respond to common challenges
Experience of delivering Compliance advice in an institutional asset management environment
Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager
Product regulatory knowledge (covering a variety of regulated and unregulated collective investment schemes) - especially from the perspective of investment compliance
Experience of AIFMD, UCITS, EMIR, derivatives and client money issues would be desirable
M&G is committed to a diverse and inclusive workplace. Our role as an employer is very simple - to provide the right environment for talented people to do their best work, by respecting, understanding and valuing individual differences.
We welcome applications from individuals who have taken an extended career break, and we are willing to consider flexible working arrangements for all of our roles.