Head - Investment Compliance & Controls Monitoring
M&G plc (company site, opens in a new tab)15+ yrsMumbaiOn-siteDirect career pageEst. 40–80 LPA
Posted on 7 Sept
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Job description
Structured overview of role & requirements
About This Role
- Lead end-to-end investment compliance capability including client mandate interpretation, rule coding, pre- and post-trade monitoring, breach management, and governance reporting across asset management portfolios.
- Own controls monitoring and market abuse monitoring, ensuring compliance with regulations, policies, and client guidelines supported by robust systems and processes.
- Drive strategy, operating model, technology enhancements, risk management, and stakeholder leadership to improve compliance outcomes and reduce operational risk.
Minimum Requirements
- 15+ years experience in buy-side asset management with deep investment compliance and guideline monitoring expertise.
- Master's degree in Finance, Economics, Mathematics, or equivalent; CFA preferred; technical certifications (SQL/VBA) desirable.
- Strong knowledge of investment guidelines, mandate interpretation, portfolio compliance, capital markets, derivatives, and ESG monitoring.
- Experience with compliance technology platforms such as BlackRock Aladdin or equivalents and strong MI/reporting skills (Power BI, Excel).
Ideal Candidate Profile
- Senior leader with demonstrated ability managing global/complex investment compliance and controls teams across coding and monitoring functions.
- Techno-functional orientation with experience leading investment compliance transformation and automation initiatives in buy-side environments.
- Strong cross-functional stakeholder management skills partnering with front office, risk, compliance, technology, and regulatory teams to drive compliance strategy and governance.