Compliance Advisory Manager
M&G plc
Luxembourg City
il y a 18h

At M&G our vision is : to become the best loved and most successful savings and investment business and we’re looking for people who are excited about joining us on our journey.

We’re digitally transforming and investing heavily in technology and innovation to develop new and improved customer propositions that really raise the bar for our customers.

  • To help us achieve our vision we’re looking for exceptional people who live our values and behaviours and who can inspire others;
  • embrace change; deliver results and keep it simple.

    We know that an inclusive environment makes us more accessible and ensures we attract, engage, promote and retain exceptional people.

    We welcome applications from all individuals regardless of age, gender / gender identity, sexual orientation, ethnicity / nationality, disability, or military service and welcome those who have taken career breaks.

    We will consider flexible working arrangements or home working arrangements for any of our roles.

    What you can expect from us :

    We are committed to creating an environment where you can be exceptional at all you do. To help us deliver this, we promise to :

  • Challenge Your Limits by creating a stimulating working environment and providing opportunities for you to be involved in meaningful and challenging work
  • Support Your Aspirations with a commitment to learning and development that helps you achieve and build your experience with people who want you to succeed
  • Value Your Input whereby leaders and managers will involve you in key decisions, listen to your thoughts and recognise the important contribution you make
  • Balance Your Life through a work life partnership that focuses on making this an inclusive, diverse and friendly place to work and offers the flexibility and support that enables everyone to be at their best
  • How do we support our employees :

    All M&G plc employees will be supported in the workplace through our LifeWorks employee assistance programme which is run by Canada Life.

    If you need counselling, confidential financial or legal advice. The service is available 24 hours a day, 365 days a year and offers access to qualified professionals who can provide specialist information, advice and support on many issues.

    It offers a broad range of services, including help with family issues, maintaining work / life balance and mental health support.

    The Role :

    Supporting the Compliance Advisory Senior Manager, the successful candidate will be an integral part of the Super ManCo Compliance team with responsibility for overseeing compliance risks and the provision of professional and timely compliance services, to ensure the business understands it’s regulatory and legislative responsibilities.

    The existing M&G Group Compliance function in the UK provides significant support for the role.

    This is a key role within a developing business model. The role holder will need to be flexible and proactive in order to maintain and evolve the necessary compliance advisory framework as part of the broader international compliance operating model which is being developed.

    Key Work Level Accountabilities :

    Manager or Expert :

  • For people managers, accountable for managing and motivating others to ensure quality of delivery to customers and stakeholders
  • For technical specialists, accountable for delivering expert advice or service, using specialist knowledge and subject matter expertise
  • Applies judgement to deliver outcomes, evaluating a range of potential solutions, considering the impact for customers, cost and risk
  • Manages conflicts that may impact delivery
  • Challenges upwards given knowledge of delivery and awareness of complex systems and the broader picture
  • Identifies and anticipates need for changes to continuously improve quality and efficiency of output
  • Manages resources and risks using expert judgment, know-how and experience
  • Key Responsibilities for this role :

    Responsible for the delivery and management of a range of activities including :

  • Regulatory development tracking / horizon scanning / impact analysis : Interpretation of rules affecting the business and identification and analysis of regulatory and legislative changes;
  • Compliance representative of group regulatory change projects
  • Attendee of the Regulation Forum;
  • Compliance advisory : Supporting a range of projects including new fund / product launches, as well as services such as investment advisory services / DPM, distribution / marketing and also corporate restructuring / governance / regulatory
  • Regulatory compliance : ensure that the monitoring plans targeted are on-line with regulatory obligations and are executed effectively and duly documented.
  • Provide with regulatory advice & assist for broader projects on licensing / regulatory applications / regulatory liaison
  • Ensure investment compliance obligations are properly managed : act as 2nd line monitoring of breaches & CSSF reporting
  • Prepare and deliver training to employees (induction / ad-hoc training ) and developing a robust compliance culture;
  • Key Knowledge, Skills & Experience :

  • Excellent written and oral communication skills in English and French, German, Italian or Spanish would be advantageous
  • Ability to conceptualise complex issues
  • Solution oriented -pragmatic
  • Team player, supportive with collegiate approach
  • Be proactive, demonstrate well considered judgements and anticipate emerging risks
  • Demonstrates a professional knowledge of the Luxembourg legal and regulatory framework with proven technical ability
  • Regulatory and compliance knowledge of EU regulatory environment for funds and investment services including UCITS and AIFMD regimes
  • Desirable Qualifications :

  • University degree (or equivalent qualification)
  • Min 5-8 yrs relevant experience in asset management, management company or Big 4 / legal advisory firm, or equivalent experience
  • Strong technical knowledge of UCITS and AIFMD rules / investment compliance
  • Relevant investment management qualification (i.e. Investment Management Certificate, Investment Operations Certificate) would be an advantage
  • Work Level : Expert / Manager
  • Recruiter Name : Tom Hunt
  • Closing Date : 31 / 10 / 2020
  • We live by four behaviours at M&G and we ask all our employees to :

  • Inspire Others - Support and encourage each other, creating an environment where everyone can contribute and succeed
  • Embrace Change - Be open to change, willing to be challenged and able to adapt quickly and imaginatively to new ideas
  • Deliver Results - Focus on outcomes, set high standards and deliver with energy and determination
  • Keep it Simple - Cut through complexity and bureaucracy, be clear and decisive and never overcomplicate things
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