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. 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: This is an exciting opportunity to join the growing US asset management arm of a global, UK-based firm. The successful candidate will have the opportunity to play a key role in administering the compliance program within an entrepreneurial environment with room for growth. Key Responsibilities: Assist in policy drafting and maintenance Prepare and maintain minutes for the firm’s committees Review and research applicable SEC, CFTC, and state/local rules and requirements Conduct compliance review and approval of the firm’s marketing materials, including presentation books, general commentaries and RFPs Assist the CCO with all regulatory examinations, requests and audits Assist in preparation and filing of Form ADV Assist with general administrative and project management duties Assist with global and local compliance administration, monitoring and testing framework Perform compliance training for staff Personal Attributes: Strong organization skills with a high level of attention to detail Entrepreneurial attitude Self-motivated and able to adapt to different situations and changing priorities Strong people skills with the ability to interact with various levels and across teams throughout the organization Excellent written and verbal communication skills Key Knowledge, Skills & Experience: Bachelor’s degree (or equivalent qualification) Knowledge of the Investment Advisers Act of 1940, SEC, and NFA rules and regulations Knowledge of FINRA rules and Series 7 and 24 licenses is a plus Experience with global regulations, such as MiFID, is a plus At least 5 years of compliance experience within the asset management industry Experience developing and maintaining written policies and procedures for compliance programs Experience with global asset management firms is a plus Work Level: Manager or Expert Recruiter Name: 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. M&G plc is an international savings and investments business, managing money for around 5 million retail customers and more than 800 institutional clients in 28 markets. As at 30 June 2022, we had £348.9 billion of assets under management and administration. Our purpose is to help people manage and grow their savings and investments, responsibly. With a heritage dating back more than 170 years, M&G plc has a long history of innovation in savings and investments, combining asset management and insurance expertise to offer a wide range of solutions. We serve our savings and insurance customers under the Prudential brand in the UK and Europe, and under the M&G Investments brand for asset management clients globally.