Senior Compliance Manager, Marketing and Cross Border

M&G; London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading financial services company is seeking a Manager for Distribution & Marketing Compliance. This role involves overseeing compliance advisory activities, managing a team, and ensuring adherence to regulatory standards. The ideal candidate will have significant experience in compliance within the asset management industry and a strong understanding of relevant regulations. The company promotes a diverse and inclusive culture and offers flexible working arrangements.

Qualifications

• Significant experience in Distribution, Marketing & Cross Border Compliance advisory role.
• Proven track record to manage and lead a team.
• Strong understanding of UK and EU regulatory frameworks.

Responsibilities

• Support the Head of Product & Distribution Compliance Advisory.
• Lead and manage the Distribution & Marketing Compliance team.
• Provide high quality Compliance advice on Distribution and Marketing.

Skills

Leadership

Compliance

Communication

Collaboration

Education

Degree level education

Job description

At M&G our purpose is to give everyone real confidence to put their money to work. As an international savings and investments business with roots stretching back more than 170 years, we offer a range of financial products and services through Asset Management, Life and Wealth. All three operating segments work together to deliver attractive financial outcomes for our clients, and superior shareholder returns.

Through our behaviours of telling it like it is, owning it now, and moving it forward together with care and integrity; we are creating an exceptional place to work for exceptional talent.

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.

Key role specific accountabilities

• To support the MGG Head of Product & Distribution Compliance Advisory through provision of Compliance advisory and oversight activities in relation to Distribution, Marketing & Cross Border Compliance.

• Lead, direct and manage the activity of the Distribution & Marketing Compliance Advisory team.

Engagement

• Support the communication and implementation of the strategic direction in relation to Distribution, Marketing & Cross Border Compliance
• Demonstrate a clear understanding of business priorities and expectations.
• Represent Distribution & Marketing Compliance on agreed committees / forums and cascade information to wider Compliance teams, as appropriate.
• Build and maintain strong collaborative relationships with internal stakeholders.
• Develop professional relationships with industry peers to discuss regulatory and industry best practice relating to Distribution, Marketing and Cross Border Compliance.

Team Management

• Day to day management of direct reports, providing training plans, career development, mentorship and resource planning.
• Motivate and lead by example, setting an exemplary standard of personal conduct and integrity.

Distribution & Marketing Compliance Advisory

• Responsible for provision of high quality proactive and reactive advice on Distribution, Marketing & Cross Border Compliance helping the business in meeting regulatory expectations and good industry practice.
• Provide Compliance advice on Distribution, Marketing & Cross Border related processes including but not limited to marketing, private placement, cross border regulations, distribution agreements and business expansion.
• Provide and support training on Distribution, Marketing & Cross Border Compliance.

Distribution & Marketing Compliance Oversight

• Lead and motivate the Distribution & Marketing Compliance team in their implementation of the Advisory operating model ensuring appropriate training, processes and procedures are in place in order to provide high quality Compliance advisory services to the business.
• Ensure Distribution & Marketing Compliance is sufficiently engaged with the first line business units in order to drive the delivery of Compliance advice in a proactive manner.
• Represent Distribution & Marketing Compliance in the provision of appropriate subject matter input and resources to assist the business in delivering change.
• Participate in regional and global initiatives and projects related Distribution, Marketing & Cross Border Compliance.
• Provide Compliance advice and support in the integration of regulatory development applicable to Distribution, Marketing & Cross Border activities.
• Provide input to the Compliance Monitoring & Assurance Team regarding Distribution, Marketing & Cross Border activities.
• Manage Audit / Compliance Monitoring Actions related to Distribution, Marketing & Cross Border Compliance, ensuring they are completed within the assigned deadlines.

Minimum Requirements:

• Significant experience in a Distribution, Marketing & Cross Border Compliance advisory role gained within the asset management industry.
• Proven track record to manage, lead, develop and motivate a team with a varied and complex Distribution & Marketing Compliance Advisory workload, including with respect to ensure there are appropriate procedures and reporting mechanisms are in place.
• A strong understanding of the regulatory framework that underpins the UK and EU and general knowledge and understanding of the US and Asia-Pacific regulatory environments applicable to asset management, in particular as it relates to Distribution, Marketing & Cross Border activities.
• Detailed knowledge of Distribution, Marketing & Cross Border related regulations including but not limited to FCA, SYSC, COBS, COLL, SUP, MiFiD, MiFIR, PRIIPS, UCITS, AIFMD,OFR, LTAF, ELTIF and MMR.
• An awareness and understanding of the wider business, economic, regulatory and market environment in which M&G plc operates.

Desirable requirements:

• An ability to work closely with senior stakeholders and being able to influence effectively.
• Experience of attendance at and/or reporting to governance forums such as boards and senior level committees.
• Sound understanding of the wider global financial services sector, in particular in relation to relevant competitors and product & services
• An ability to support and develop a positive Compliance culture across the organisation
• Understanding of the developing Environmental, Social and Governance regulations related to Distribution, Marketing & Cross Border Compliance.

Qualifications

• Educated to degree level, or equivalent qualifications/experience and/or professional qualification

Experience Level: Manager / Expert

Recruiter: Helen Simons

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, disability or long term condition, we are looking to attract, promote and retain exceptional people. We also welcome those who take part in military service and those returning from career breaks.

M&G is also proud to be a Disability Confident Leader , and we welcome applications from candidates with long-term health conditions, disabilities, or neuro-divergent conditions. Being a Disability Confident Leader means that candidates who meet the minimum criteria of a job, will be offered an interview if they 'opt in' to the scheme when applying.

Ifyou need assistanceor an alternative means of applying for a role due to a disability or additional need,pleaselet usknow by contacting us at: [e-mail]