Retail Product Operations Compliance Advisor

M&G Investments

We are not your average financial services firm and our unique culture is just one aspect that makes us stand out from the crowd. We offer a supportive environment that encourages innovation and creativity whilst maintaining a healthy lifestyle balance. You will be joining one of Europe's leading Investment Management firms where you can expect real responsibility and recognition from day one. We are large enough to offer a wide variety of career opportunities, whilst small enough to treat you as an individual and tailor training and development to your specific needs.


To work within the Retail Product - Operations team within Compliance's Retail Product Advisory function. The team provides professional and timely Compliance advice to M&G's retail business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities.

Key Responsibilities

Assist in the delivery of team activities, in particular with reference to fund operational matters and retail products, including:

* Advice and support to the business in relation to retail product regulation (including ISAs)
* Regulatory rule interpretation including both UK and non-UK requirements (e.g. CASS, COBS, COLL, FUND, HMRC ISA regulations, etc.)
* Advice and support in relation to fund governance
* Technical input with regards to the development of regulatory training
* Supporting a range of business projects (typically those categorised as "Risk Reduction & Operations" or "Regulatory", e.g. MiFID II, PRIIPS, operational expansions such as D2C)
* Financial Ombudsman Service complaint handling

* Be creative and identify solutions to any challenges that may arise in executing the delivery of Compliance methodologies and approaches
* Assist in the delivery of regulatory change
* Maintain relationships with third party outsource providers (TAs, Fund Accounts, Price Makers, etc.)

Experience & Knowledge

* Experience of delivering Compliance advice in a retail asset management environment or similar.
* Knowledge and awareness of UK and European regulatory environment and their impacts on a UK or Lux-based fund manager.
* Product regulatory knowledge (covering a variety of regulated collective investment schemes and ISAs).
* Experience of unregulated collective investment schemes, derivatives, client money, UCITS, fund distribution issues would be desirable.

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.