Compliance Advisory SME Team Lead

M&G plc.
Closing date
17 Aug 2021

View more

Contract Type

Job Details

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.

We know that an inclusive environment makes us more accessible and ensures we attract, engage, promote and retain exceptional people. We welcome applications from all individuals regardless of age, gender/gender identity, sexual orientation, ethnicity/nationality, disability, or military service and welcome those who have taken career breaks. We will consider flexible working arrangements or home working arrangements for any of our roles.

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

How do we support our employees:
All M&G plc employees will be supported in the workplace through our M&G Employee Assistance Programme (EAP). If you need counselling, confidential financial or legal advice. The service is available 24 hours a day, 365 days a year and offers access to qualified professionals who can provide specialist information, advice and support on many issues. It offers a broad range of services, including help with family issues, maintaining work/life balance and mental health support.

Context for the Role:

The objective of the M&G Group Compliance Advisory team is to provide 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. The SME Lead will be responsible for managing the Compliance Advisory SME Team, who are responsible for delivery of technical support to the business on business and regulatory change activities

Work Level Accountabilities:

Manager or Expert:
  • For people managers, accountable for managing and motivating others to ensure quality of delivery to customers and stakeholders
  • For technical specialists, accountable for delivering expert advice or service, using specialist knowledge and subject matter expertise
  • 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:
  • Line management of Compliance SME team who are responsible for supporting business partners on technical queries to the first line, and reg/bus change projects
  • Work on business and regulatory change projects
  • Maximises leverage of resource against priority items (incl. BAU queries, reg change projects, business change projects.)
  • Support the Director of Compliance Advisory
  • Providing support to the other Business Partners and wider team as necessary
  • Provides technical expertise and project support where required Understand the team's capacity and capabilities; manage and delegate work appropriately
  • Provide effective oversight and ensure output is of consistently high quality
  • Participate in the delivery of team activities including objectives to improve the effectiveness and efficiency of the Advisory team

Experience, Skills & Knowledge:
  • Experienced manager and team leader
  • Experience of delivering Compliance advice in an asset management environment
  • Knowledge and awareness of UK and International regulations within the asset management industry including Investments, Products and Distribution
  • Self-starter, high levels of initiative and a strong work ethic
  • Ability to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner
  • Communicates with conviction across all levels of the organisation
  • Commercially aligned, can do attitude and pragmatic approach to provision of advice

  • University degree (or equivalent)
  • Relevant Compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment)
  • Relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate)

Recruiter: Tom Hunt
Work Level: Manager/Expert
Closing Date: 21/07/2021

We live by four behaviours at M&G and we ask all our employees to:
  • Inspire Others - Support and encourage each other, creating an environment where everyone can contribute and succeed
  • Embrace Change - Be open to change, willing to be challenged and able to adapt quickly and imaginatively to new ideas
  • Deliver Results - Focus on outcomes, set high standards and deliver with energy and determination
  • Keep it Simple - Cut through complexity and bureaucracy, be clear and decisive and never overcomplicate things

Get job alerts

Create a job alert and receive personalised job recommendations straight to your inbox.

Create alert