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 investment Compliance Advisory Consultant to join M&G Investments. The Investment Compliance Advisory team provides professional and timely Compliance advice to M&G's investment management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities.
You will be responsible for:
* Advice and support to the business in relation to institutional product regulation * Regulatory rule interpretation, advise on UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, MAR, SUP, US Investment Advisers Act etc.) * Advise the front and back office on transactional regulation and market facing issues, transaction and other regulatory reporting * Work closely with the Regulatory Development team on regulatory changes with a markets / trading focus * Advise the business on MiFID II and EMIR requirements and other markets / trading related matters * Technical input with regards to the development of regulatory training (e.g. market abuse, information barriers, conflicts of interest) * Supporting a range of regulatory change projects and business changes projects which have regulatory impacts * Complete due diligence when M&G is seeking to invest in a new market or instrument (support M&G's New Markets and Instruments Working Groups) * Support the review and ongoing maintenance of M&G Group wide policies * Support input into the delivery of regular Compliance Department reporting to relevant Boards and governance committees * Continuously seeking to improve advice, compliance processes and controls
What we are looking for:
It is essential for you to be a self-starter, high levels of initiative and a strong work ethic. You will have the ability to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner as well as communicate with conviction across all levels of the organisation. It is essential for you to be a team player, supportive with a collegiate approach and Commercially aligned with a can do attitude and pragmatic approach to provision of advice. A University degree and/or relevant industry qualifications are required.
It is desirable for you to have strong experience of delivering Compliance advice in an institutional asset management or sell-side/broker environment, good working knowledge of trading and trading lifecycle (incl. back-office) of liquid products (e.g. cash equities, bonds, derivatives) and knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager.
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.