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, whilst small enough to treat you as an individual and tailor training and development to your specific needs.
An opportunity has arisen for an efficient and willing Compliance Consultant to join the Code of Ethics team at an exciting time and take ownership of responsibilities. You will be assisting with the oversight of the Code of Ethics team and supporting administration for the Gifts and Hospitality Policy.
The Compliance department provide quality outcomes in everything that they do with a consistent delivery and a pro-active approach. The team like to be open, honest and act with integrity at all times in order to be a respected and trusted partner to the business. It is important for the team to support each other and encourage innovation and creativity in their approach whilst being able to be independent in their actions.
Your responsibilities will be...
* Providing direction and guidance to junior members of the team * The efficient running, design and development of the Code of Ethics and Gifts and Hospitality automated system * Delivery of the routine Personal Account Dealing monitoring activities generated by the automated Code of Ethics and Gifts and Hospitality system, and manual processes * Investigating, escalating and reporting identified issues * Fielding business queries received into the team inbox * Maintaining the Code of Ethics breaches register and ensuring appropriate actions for breaches have been closed out in line with Compliance procedures * The production of management information and reporting to the business * Creating and maintaining accurate team procedures and policies * Ad-hoc projects (e.g. system upgrades and development) and other similar duties as need and capacity allows, as directed by the Deputy Head of Code of Ethics * Develop positive and professional working relationships across the Compliance Departments, with senior managers throughout M&G and Prudential group, and with M&G's third party service providers.
What are we looking for..
You will need to have experience in a similar role within a Compliance function, ideally within Asset Management with good knowledge of fund management processes, instruments and products. Along with good knowledge of FCA personal account dealing (COBS 11) and relevant SEC rules.
It is essential for you to have strong experience and knowledge, working with an automated Personal Account Dealing System (e.g. SunGard / StarCompliance).
Ideally, you will be degree educated with a relevant compliance and investment management qualification.
We are looking for you to be willing to take ownership and accountability for delivery and to have a strong work ethic. You need to show that you will be comfortable working under pressure and to tight deadlines whilst being flexible, proactive, and to work using your initiative.
You will need an analytical mind-set with the ability to analyse large data set, excellent written and oral communication skills and a high level of accuracy and attention to detail.
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.