Distribution Due Diligence Specialist
il y a 2 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.
Role Profile
Job Title: Distributor Due Diligence Specialist
Reports to: Senior Manager Client Due Diligence
Company: M&G Luxembourg S.A.
Business Area: M&G Fund Services
Department: Operations & Client Services
Location: Luxembourg
Role and Context
Purpose:
Further responsibilities include professional and timely AML/CFT advisory services in regards to distributor / client on-boarding and distribution oversight ensuring that the business understands it’s regulatory and legislative responsibilities and acts in accordance with M&G Group financial crime policies.
This is a key role within a new business model. The role holder will therefore need to be flexible and proactive and contributing to define, establish and evolve the necessary procedures, processes and reporting framework.
CSSF Approved No
Persons Status:
Direct Reports: None
Indirect Reports: None
Key Responsibilities
Day to day management/tasks
Conducting a range of activities including:
- To work collaboratively with colleagues and take personal accountability to maintain and enhance controls you are responsible for to support improvement of the overall control environment, customers outcomes and a reduction in M&G’s operational risk.
- Assessment of KYC files (completeness of documentation on file, analysis of powers of authorised persons, shareholding structures, beneficial ownerships, incorporation documents, etc.), and carrying out of AML Due Diligence and distributor due diligence (where applicable) on new and existing contractual counterparties and provision of risk based recommendations for approval to relevant committees
- Defining and maintaining client KYC checklists/AM/ Distributor Due Diligence Questionnaires for the use of internal and external clients
- Responding to new information received on counterparties, supporting timely escalation, recommendation and resolution
- Answering day to day AML/CTF/Distribution oversight issues and queries
- Assisting with client due diligence calls to obtain the required information and to explain the regulatory/ legal obligations
- Working with M&G Distribution and Client Services teams in supporting the distribution of funds across all relevant jurisdictions
- Performing oversight and due diligence on shareholder activities (AML/KYC customers files assessments; screening). Ensuring business is conducted in compliance with relevant laws, rules and regulations and as per M&G’s risk appetite
- Contributing to the development and maintenance of the KYC, AML/ Distributor Due Diligence Framework including screening and monitoring practices, tools, procedures, and AML/CTF assessment grids in accordance with regulatory requirements, Group and local policies and M&G’s risk based approach
- Contributing to the implementation and development of a new business model in accordance with the companies needs
- Providing support to the team in relation to distribution oversight activities, approval of sub-distributors appointments, review of KPIs, etc.
- Participation in ad hoc projects and assistance in provision of information to auditors and closure of audit points
- Production of reporting to relevant governance bodies, such as boards and internal and Group committees
Requirements and Experience
This function’s roles are ideally suited to someone who can demonstrate:
Desirable Qualifications:
- Certified Anti-Money Laundering Specialist (Association of Certified Anti-Money Laundering Specialists, “ACAMS”).
Job & Personal Skills:
- Excellent written and oral communication skills
- Very good command of English language; knowing any other language is an asset
- Ability to conceptualise complex issues
- Ability to manage and deliver change
- Team player, supportive with collegiate approach
- Be proactive, decisive, demonstrate well considered judgements and anticipate emerging risks
- Solution oriented
- Client Service attitude
Essential Knowledge & Experience:
- Worked in a financial crime compliance/distribution oversight role (minimum of 3 years of experience including in a similar role)
- Demonstrates a professional knowledge of the Luxembourg financial crime legislative framework (AML, CTF, Sanctions) and distribution oversight responsibilities (according to Circular 18/698)
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