Compliance Adviser, Market Conduct - London, United Kingdom - M&G plc

M&G plc

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

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.

As part of a formal Compliance Transformation Programme, M&G are pleased to have on offer a number of Compliance Advisory positions.

The recruitment of these roles supports the implementation of a new global operating model for the Asset Management Compliance Advisory team and ensures we have the right capability and capacity to effectively support the business and its growth agenda.

Key role specific accountabilities

To support the MGG Senior Compliance Manager through provision of Compliance advisory and oversight activities in relation to Investments Compliance Advisory, Market Conduct.
Responsible for provision of high quality proactive and reactive advice on Investments Compliance, in particular Market Conduct, helping the business meet regulatory expectations and good industry practice.
Provide Compliance advice on Investments and Market Conduct related processes including but not limited to Best Execution, Investment Restrictions, Conflicts of Interest, Information Barriers, Wall Crossings, Restricted Dealing, Secondary Markets, Dealing and Execution, Trade and Transaction Surveillance and Communication Surveillance.
Participate in regional and global initiatives and projects related to Investments Compliance Advisory, Market Conduct.
Provide Compliance advice and support in the integration of regulatory developments applicable to Investments and Market Conduct.
Provide input to the Compliance Monitoring & Assurance Team regarding Investments and Market Conduct.

Key knowledge, skills and experience

An awareness and understanding of the wider business, economic, regulatory and market environment in which M&G plc operates.
Knowledge of Investment related regulations including but not limited to FCA, SYSC, COBS, SUP, MAR, MiFiD, MiFIR, EMIR, SFTR and CSDR.

Qualifications:

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

Experience Level:
Experienced Colleague

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 or disability 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.