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.
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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.
The Role:
The Central Compliance & Monitoring Manager, reporting into the M&G Lux Compliance Conducting Officer, will be responsible for implementing and executing the Compliance Monitoring & Assurance Testing Plan (“CMAT Plan”) for M&G Lux in co-ordination with the M&G Group (“MGG”) CMAT team. Furthermore, the role holder will act as the primary business partner for all “Central Compliance” matters in co-ordination with the M&G Central Compliance team.
Key Responsibilities for this role:
- Preparation of M&G Lux CMAT 3 year Plan and mid-year update*
- Carry out Lux thematic CMAT reviews in line with the CMAT Plan*
- Carry out BAU monitoring and assurance* (including branches / subsidiaries, G&H, PA dealing, personal conflicts etc)
- Ensure maintenance of personal transactions register*
- Maintain the Compliance Issues Log
- Preparation of MI reporting for governance fora
- Co-ordinate the quarterly risk assessment process
- Provide training on assurance standards and central compliance topics
- Oversight of the maintenance of Lux Compliance owned policies and frameworks
- Maintain the M&G Lux Conflict of Interests (“COI”) policy
- Act as 2nd line owner of the COI register and COI review process
- Ownership of oversight of all Lux regulatory reporting via JIRA
- Contribution and oversight of filing of Compliance owned reports with the CSSF
- Act as the Central Compliance business partner for monitoring, framework & reporting and core compliance matters
- Member of the Local Controls Committee
- Participate in compliance or governance fora as required
- Provision of support for internal audit and external audit including Long Form Report process
- in co-ordination with MGG central compliance team
Key Knowledge, Skills & Experience:
- Proven experience working in the Fund industry within a compliance function of an asset manager or a Big 4 firm
- Strong working knowledge of regulatory requirements of UCITS, AIFMD, MiFID and Luxembourg regulatory requirements (for example, CSSF Circular 18/698)
- Knowledge of UCITS products and alternate product strategies (such as real estate, private equity, infrastructure, MMF)
- Excellent written and oral communication skills
- Ability to conceptualise complex issues
- Attentive to details, flexible, capable of prioritizing tasks and exercising sound judgement and creativity in finding solutions and improvements
- Team player, supportive with collegiate approach
- Strong organizational and technology skills
- Organized and capable to work under pressure and independently
Qualifications:
- University degree (or equivalent qualification)
- Relevant Compliance qualification (e.g. International Compliance Association) would be an advantage
- Perfectly fluent in English (oral and written), French would be an advantage
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 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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