Product Delivery Compliance Advisor 12 mth FTC

Job Description

At M&G our vision is: to become the best loved and most successful savings and investment business and were looking for people who are excited about joining us on our journey. Were 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 were 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 and also offer work place accommodations to ensure you have what you need to effectivelydeliver in your role. 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 M&G Employee Assistance Programme (EAP). 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 qualifiedprofessionals 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. Product Delivery Compliance AdvisorM&G Compliance Advisory teamThe objective of the M&G Group Compliance Advisory team is to provide an advisory service to all areas of the M&G Group business in relation to the design and effectiveness of regulatory processes, policies, controls, products, services and outcomes for clientsand customers. We are looking for a Compliance Advisor to define a risk based framework for Compliance engagement with new fund launches, fund restructures and other product changes to enable earlier identification of compliance risks and ensure these projectsreceive appropriate support. Key Objectives for This Role:

• As the business has evolved so have the obligations of the mandates and portfolios.
• The complexity of ESG requirements, more complex institutional requirements, new distribution markets and changing regulatory environments expose us to new areas of risk. This is resulting in more teams being impacted by change and more resource being requiredto onboard new mandates and implement changes
• Shorter timeframes for launches also means that the Compliance team must engage early on complex launches in order to provide appropriate advice and challenge to stakeholders on regulatory
• Design and implement a new structured framework to ensure that Compliance Advisory has a scalable model to support the Product teams
• This role will co-ordinate technical regulatory requirements across Compliance Advisory and support in defining risk assessments for go / no go decisions

Key Responsibilities for This Role:

• Work with the Compliance Advisory Product Business Partner and other Compliance Advisory Specialist in order to build and implement the new framework
• Central point of contact / point person for Compliance and face off to Product Delivery teams, and escalating to the Compliance Advisory Product Business Partner where appropriate
• Partner with the product and business teams and support technical capability discussions across key areas such as Controls Monitoring, Controls and Assurance team, and Regulatory Reporting
• Develop a Compliance risk and control framework for new products, and changes to existing products, in order to streamline the review and provide a proportionate compliance perspective

Key Knowledge, Skills & Experience:

• Awareness of regulations within the asset management industry, with detailed knowledge and understanding with respect to product development and governance
• Ability to builds strong relationships
• Project experience
• Understanding of FCA / CSSF requirements / expectations for a fund manager for product development, including fund launches, fund changes and disclosure in scheme documents including prospectus and KIID
• Self-starter, a strong work ethic and ability to work autonomously
• High levels of initiative and proactivity
• Commercially aligned, can do attitude and pragmatic approach to provision of advice
• Ability to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner
• Confident using core Office365 applications (MS Teams, OneNote) and able to embrace technology / new digital tools
• Team player, supportive with a collegiate approach
• Attention to detail

Qualifications (Desirable):

• University Degree (or equivalent)
• Relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate, CFA)
• Relevant Compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment)

Work Level: Manager/Expert Recruiter Name: Amy Curtis Location: Edinburgh, Bath or London 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 succeedEmbrace Change - Be open to change, willing to be challenged and able to adapt quickly