Investment Advisory Compliance, Senior Associate

23 hours ago

Central Business District, Singapore M&G plc Full time

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.
- Support the design of the Investment Advisory Compliance framework across M&G Asia Pacific and 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, Australia, China and SE Asia more broadly.
- Provide technical investment activities related advice to the first line of defense as well as challenge and oversight of 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 and assist in the delivery of business and regulatory change
- Managing relationships and influencing key stakeholders across the business and collaborating with other teams
- 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 committees and boards
- Represent Compliance on agreed committees / forums (regionals as well as global) and cascade information to wider Compliance teams, as appropriate
- Develop professional relationships with industry peers to discuss regulatory and industry best practice relating to Investment Compliance
- Provide Compliance advice on Investment related processes including but not limited to trade orders and mandate management, markets and instruments, ESG, trade reporting, communications recording, business expansion, and counterparty onboarding.
- Work closely with the wider Compliance teams, sharing knowledge and ensuring a coordinated and consistent approach in delivering Compliance advice

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.

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