Associate Director - Compliance

You will be responsible for:

  • Compliance advisory duties:
    - Proactively assisting and advising when marketing teams seek to access new jurisdictions, ensure to liaise with the central M&G Distribution teams where appropriate.
  • Compliance Monitoring:
    - Conducting planned and ad-hoc Real Estate Compliance monitoring reviews of the systems and controls applied by the real estate business
  • Investment Restrictions Monitoring - ensure fund investment restrictions have been adhered to. Requires timely interactions with personnel across the business and analysis of multiple reports and sources of information and reporting on this to various stakeholders.
  • Preparation of Reporting - taking lead responsibility for preparing compliance reporting, including periodic risk committee reporting, regulated activities reporting and compliance input to fund quarterly reports for review by the Head of Compliance.
  • New Joiner Process - ensure compliance requirements arising in respect of new joiners are addressed, including Compliance Induction training, Code of Ethics Initial Certifications and identifying potential approved person roles
  • Training - liaise with the HR team and the M&G Regulatory Training Manager (within M&G HR) to ensure training needs are identified and addressed, in particular for approved persons. Additionally assist the Head of Compliance, M&G Real Estate with roll out and recording of face to face training.
  • Code of Ethics
    - Personal Trading - receipt of and advising on personal trading queries; oversight of employee adherence to reporting requirements; liaising with M&G Compliance teams on PTA and other processes
    - Personal Associations - receive notifications of personal associations under the Code and prepare and escalate relevant documentation for approval; ongoing oversight of reported personal associations and relevant controls
  • Committees - participate in Code oversight processes
  • Gifts & Hospitality - Dealing with queries in respect of the gifts and hospitality policy or the online STARCompliance system; escalating any matters requiring investigation/approval to the Head of Compliance; preparing reporting for provision to governing bodies
  • Marketing - review and approval of fund marketing materials for key jurisdictions, escalating where necessary, more complex licensing matters to the Head of Compliance, M&G Real Estate or specialist teams within M&G Compliance (such as the Central Marketing & Distribution Compliance team)
  • Conflicts - periodic reviews of adherence to conflicts management framework (including quarterly conflicts review), escalating complex queries to the Head of Compliance, M&G Real Estate.
  • To understand Company's Sustainability vision and apply the Sustainability Strategy as appropriate for your role.
  • Understand and demonstrate positive behaviours in line with our M&G Real Estate attributes and expectations and also the M&G Group Company Framework (Care, Create, Adapt, Grow, Enable). Additionally adhere to the Compliance vision of promoting a positive, ethical culture and a commitment to compliance at M&G, for the benefit of our clients.
  • To understand the Health and Safety responsibilities appropriate for your role and ensure that they are undertaken in accordance with the relevant Company policies, procedures and guidelines. This includes responsibilities relating to your own H&S and others affected by your actions. Any concerns relating to H&S risks must be escalated to your line Manager and the Company's H&S Manager.
  • Fulfil regulatory requirements, including timely completion of all regulatory training and declarations

What we are looking for:

You will have a proven track record in a compliance advisory role and previous exposure to compliance monitoring work, good understanding of the UK and EU regulatory requirement as well as a background gained in an asset management firm or at a professional services firm (such as a Big 4 firm); this need not be specifically focused on the real estate sector but a good prior knowledge of AIFs and other institutional funds would be a distinct advantage and be degree Educated. It is desirable that you have experience of administering/overseeing Code of Ethics and Gifts & Hospitality Policy requirements and Real estate or private equity fund management background.

M&G is committed to a diverse and inclusive workplace. Our role as an employer is very simple - to provide the right environment for talented people to do their best work, by respecting, understanding and valuing individual differences.

We welcome applications from individuals who have taken an extended career break, and we are willing to consider flexible working arrangements for all of our roles.