Market Abuse Regulation (MAR) Investment Compliance Advisor

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 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 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:

The Compliance department is looking to add a further full time position to its Investment Compliance Advisory Team. The team provides professional and timely Compliance advice to M&G's institutional investment management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities - "helping the business to build compliance into their processes and controls"

Key Work Level Accountabilities:

Experienced Colleague:

• Accountable for providing a quality service or product to customers and stakeholders, using skills/experience built through significant practical experience or training
• For team leaders, accountable for ensuring the team the role supports is delivering a quality service or product
• Works within established frameworks and procedures, with the freedom to interpret them to solve a range of problems
• Delivers outputs that are clearly defined, using discretion over how to achieve them
• Makes suggestions for improvements to the work of the team, based on previous experience and knowledge of similar situations

Key Responsibilities for this role:

• Advise and support the business (front and back office) in relation to processes, systems and controls to meet their regulatory obligations
• Advise and support to the business in relation to Market Abuse and Conflicts related queries
• Manage the wall crossing process for European primary and secondary deals, maintaining relevant wall-crossing and restricted dealing procedures
• Conducting internal inquiries and investigations as necessary
• Support a range of ongoing regulatory change and implementation projects
• Support the review and ongoing maintenance of M&G Group wide policies and procedures
• Regulatory rule interpretation, advise on UK and non-UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, MAR, SUP, etc.)
• Supporting the design, implementation and delivery of regulatory training (e.g. market abuse, information barriers, conflicts of interest)
• Support input into the delivery of regular Compliance Department reporting to relevant Boards and governance committees

Key Knowledge, Skills & Experience:

• Experience of delivering Compliance advice in an institutional asset management or sell-side/broker environment. Equivalent experience within a consulting environment or regulatory body may be considered
• Experience and technical knowledge on advising on Market Abuse related queries
• Knowledge and awareness of UK and European regulatory environment and their impacts on a UK based fund manager
• Product knowledge (including a good spread of liquid and illiquid products) especially with a good understanding of front office processes
• The ideal candidate for this role is an individual with 5+ years of relevant Compliance experience (or equivalent) in the Asset Management industry

Personal Attribute/Skills:

• Self-starter, high levels of initiative and a strong work ethic
• Ability to analyse complex and evolving positions and ability to express concepts in a clear and concise manner
• Communicates with conviction across all levels of the organisation
• Commercially aligned and pragmatic approach to provision of advice
• Desire to work in a collaborative, dynamic and agile environment
• Team player, supportive with a collegiate approach

Desirable Qualifications:

• 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: Experienced Colleague
Recruiter Name: Tom Hunt
Closing Date: 31.03.2021

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