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Investment Advisory Compliance, Senior Associate
2 weeks ago
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.
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
This is a permanent role to support the Head of Asia Compliance and the M&G Group Compliance Advisory team in providing 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 clients and customers. This role is primarily responsible for supporting the business on the technical queries and delivery of business and regulatory change activities in relation to private markets front office investment activities particularly Real Estate and the Catalyst team.
Key Work Level Accountabilities: Manager or Expert-
- Applies judgement to deliver outcomes, evaluating a range of potential solutions, considering the impact for customers, cost and risk- Manages conflicts that may impact delivery- Challenges upwards given knowledge of delivery and awareness of complex systems and the broader picture- Identifies and anticipates need for changes to continuously improve quality and efficiency of output- Manages resources and risks using expert judgment, know-how and experience
Key Responsibilities for this role:
- Support the design of the Investment Advisory Compliance framework across M&G Asia Pacific- Supporting the Head of Asia Compliance in oversight activities, including, but not limited to, regional investment advisory matters for the firm’s operation in our key markets of Singapore, Hong Kong, Japan, Korea and Australia.- Provide technical investment activities related advise to the first line of defence- Provide challenge to, and oversight of the first line relating to their regulatory obligations as appropriate- Liaison with external legal counsel as required and with local regulators, with the support of the resident Compliance officers where applicable- Be proactive and demonstrate well considered judgments- Assist in the delivery of business and regulatory change projects- Managing relationships and influencing key stakeholders across the business and collaborating with other teams, as required- Keeping up to date with relevant local and transnational legislation / regulation, best practice and industry guidance and rules relating to investment activities- Prepare relevant reports to governance- Work closely with the wider Compliance teams, sharing knowledge and ensuring a coordinated and consistent approach in delivering Compliance advice
Key Knowledge, Skills & Experience:
- 5 to 7 years proven experience in investment activities Compliance advisory, within the financial services industry- Understanding of regional regulations within the asset management industry and their impacts on overseas headquartered fund managers, particularly with respect to front office activities- Asset class regulatory knowledge - especially from the perspective of investment Compliance including Private Assets and/or Real Estate- Good ability to analyse and interpret rules and published guidance from regional regulators and stock exchanges- Self-starter, high levels of initiative and strong work ethic- 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- Good command of written and spoken English; Excellent report-writing in English- Ability to manage, organise and prioritise workloads in a fast-paced and demanding environment- Capable of exercising sound judgement when assessing risk and controls; as well as understanding and balancing risk, versus appropriate controls, to determine residua
