Senior Risk, Control

4 weeks ago

Stirling, United Kingdom M&G plc. Full time
At M&G our purpose is to give everyone real confidence to put their money to work. As an international savings and investments business with roots stretching back more than 170 years, we offer a range of financial products and services through Asset Management, Life and Wealth. All three operating segments work together to deliver attractive financial outcomes for our clients, and superior shareholder returns.

Through our behaviours of telling it like it is, owning it now, and moving it forward together with care and integrity; we are creating an exceptional place to work for exceptional talent.

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: Senior Risk, Control & Compliance Consultant - 6 months

The Risk and Control team is established in order to assist the Wealth Advice Executive and Management Teams actively manage their Governance, Compliance, Risk and Control profile. The role reports into the Risk Control and Compliance Manager. The role holder will work with the business to execute and support the execution of the risk and control frameworks in line with second line Operational Risk guidance. The role holder will oversee the application of the frameworks within Wealth Advice including the governance arrangements which oversee the frameworks. The role covers Compliance support, Notifiable Event management, overseeing third party internal dependencies (for example Complaints) and relevant reporting to senior stakeholders. The role holder will help the business to identify, measure and manage their non-financial risks, ensuring robust controls exist and will execute a plan of control improvement work to assess and test controls, seeking to continually improve the control environment. The role holder will additionally provide compliance support to Wealth Advice in relation to project and day to day activities.

Key Responsibilities:
  • To lead the development of the Risk and Control processes, including senior level reporting
  • To advise and influence key stakeholders to identify, measure and manage non-financial risks, in line with the Risk and Control Framework
  • To advise on Risk Governance arrangements for Wealth Advice, ensuring management are clear on their accountabilities for managing business risk
  • To work with internal dependent business areas who undertake key activities on behalf of Wealth Advice. For example, complaint management, HR, Finance
  • To advise and operate the monitoring and control improvement plans designed to improve the control environment and risk culture.
  • To lead on and advise on the investigation or incident management process within Wealth Advice as required.
  • To advise on project /change support and day to support on Risk and Compliance.
  • To lead on preparing regulatory responses as required for requests.
  • To work collaboratively with the Risk and Control team to achieve the effective meeting of department objectives, supporting and deputising for the Risk Control and Compliance Manager as required

Key Knowledge, Skills & Experience:
  • Essential - Expert knowledge of Compliance, Risk and Control frameworks, and their application within a Distribution business
  • Essential - Expert knowledge of the regulatory environment, in particular the FCA Handbook / Conduct of Business sourcebook and their application within risk and control management
  • Essential - Detailed knowledge of negotiating and influencing senior business stakeholders
  • Detailed knowledge of the advice market in UK financial services.
  • Detailed level knowledge of life, pension and investment products
  • Detailed knowledge of industry best practices, strong networks and links to external bodies and individuals
  • Ability to analyse problems from a holistic perspective, considering the internal and external interdependencies involved
  • Considerable experience of applying regulatory compliance requirements to Distribution Risk and Control activities
  • Significant Experience of managing risk within an advisory financial planning business
  • Desirable - Experience of managing risk and control in a digital working environment
  • Experience of influencing senior management in the discharge of their risk and control accountabilities

Work Level: Manager Expert
Recruiter: Phoebe Ewers
Closing Date: 23rd August 2024

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, disability or long term condition, 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.

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