Compliance Advisory Manager
il y a 3 semaines
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 clients and 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; deliver results 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.
Working within a Luxembourg Compliance team of 7 members and working closely with the Compliance Advisory team based in the UK.
This is a Manager role working in a team of 3 reporting to the Head of Advisory in Luxembourg. You will act as a compliance advisory business partner for the Luxembourg Mega ManCo, M&G Luxembourg S.A. (“M&G Lux”) for investment, product, distribution compliance and branch oversight related activities. M&G Lux is an Investment Fund Manager (“IFM”) with circa AuM EUR96bn across public and private assets.
Key Responsibilities:
- Act as a trusted advisor to first line colleagues and senior management in advising, overseeing and assisting in their responsibilities for compliance with regulatory obligations, by working collaboratively and providing robust challenge;
- Review new product proposals prior to approval of on-boarding by the IFM as well as ongoing product changes and provide advice on product related issues as part of the advisory team of the IFM;
- Provide advice in relation to investment compliance, asset eligibility, new markets or new instruments as well as on trading queries and trading errors;
- Provide advice on distribution related matters including advice on private placement and reverse solicitation rules in liaison with UK, US and APAC regional compliance teams;
- Provision of advice to and carry out oversight of branches and the Swiss subsidiary including impact analysis on material changes in activities as well as oversight of any regulatory reporting;
- Liaison with branch and non-EU jurisdiction legal counsel as required;
- Provision of support and advice in relation to external and internal audits (e.g. Long Form Reports for the IFM and funds)
- Co-ordinate the annual regulatory audit for German branch;
- Participate in regulatory change projects as the Lux Compliance representative;Provision of general compliance support to the Compliance team as required ;
- Provision / preparation of MI reporting to ManCo and Fund boards and and other internal governance fora (Management Committee, Local Controls Committee,, Branch Oversight fora).
- Attendance to governance fora as required;
- Co-ordination of branch training (e.g. K&C, MiFID) as required;
Key challenges
- Be responsive to business demands
- Work in partnership with the business to deliver timely, pragmatic and expert advice
- Evidence and drive challenge to the business and throughout the governance structure
- Maintain the right balance of advice vs. oversight/challenge
Knowledge & Competencies:
- Strong Compliance or Legal experience (8 + years) in the asset management industry, at a law firm or a Big 4; experience in a Lux Management Company is desirable;
- Good ability to analyse and interpret rules and published guidance from the EU regulators and other relevant bodies
- Demonstrates a professional knowledge of the Luxembourg legal and regulatory framework
- Extensive regulatory, compliance and working knowledge of asset management and distribution of UCITS/AIFs funds and/or marketing and distribution of funds and investment services
Desirable Qualifications:
- University degree (or equivalent qualification)
- Relevant Compliance or legal qualification
Job & Personal Skills:
- English mandatory, fluency in other European languages (specifically French, German, Spanish or Italian)
- Excellent written and oral communication skills with an exceptional level of attention to detail and analytical skills
- Good ability to manage and prioritise workload and meet deadlines whilst working within a very busy team is essential
- Ability to work independently
- Ability to conceptualise complex issues
- Ability to manage and deliver change and to challenge the business
- Team player, supportive with collegiate approach
- Be proactive, demonstrate well considered judgments and anticipate emerging risks
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 thos
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