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Core Compliance

5 months ago

London, Greater London, United Kingdom M&G plc Full time

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.

Role and Context

Purpose:

M&G's Risk and Compliance Department is looking to recruit a Compliance Analyst to join the Core Compliance team. The Core Compliance team are part of the Central Compliance team, and they are responsible for administering and overseeing the operations of the Personal Account Dealing, Gifts and Hospitality and Personal Conflict standards in an efficient and effective manner.

The Fund Management industry is subject to a vast array of different rules and regulations, which are UK, European and Internationally driven. Compliance Departments play an increasingly important part in helping Fund Management Firms and their employees to successfully navigate these rules and regulations.

This is a fantastic opportunity for a motivated and enthusiastic individual, to build up a broad understanding of the rules and regulations underpinning the activities carried out within a leading Investment Management company.

Day to day activities:

The individual will be responsible for:

1- Managing the Compliance onboarding process for new joiners, returners and leavers, which includes:

  • reviewing and activation of new account set up for new joiners
  • investigating and resolving StarCompliance access issues
  • chasing pending and late Compliance certifications

2- Assist in the quarterly Compliance certification process, ensuring:

  • the list of activities in the schedule (prior, during and post) are completed in line with agreed deadlines
  • completion rates are tracked during the period
  • any emerging issues/patterns are escalated to senior management
  • the schedule is maintained and up to date

3- Undertaking routine monitoring activities, which includes:

  • reviewing cases generated by the StarCompliance system, ensuring these are investigated and closed out in line with procedures
  • logging breaches in the Compliance breach log, ensuring all breach closure actions are completed in line with procedures
  • completing manual monitoring reviews within deadlines

4- Fielding and resolving business queries received into the team inbox.

5- Assist in the production of management information reporting to key stakeholders, local Compliance teams (USA, Luxembourg and Asia), committees and boards, utilising a range of Microsoft applications such as Teams, PowerPoint, Excel and Power BI.

6- Updating and maintaining team procedures and process documents.

7- Carrying out other similar duties, as need and capacity allows, as directed by the Assistant Compliance Manager.

8- Developing positive and collaborative relationships with stakeholders, the wider Compliance team and StarCompliance, to ensure the team's controls and processes are effective.

Skills and experience

  • University degree (or equivalent)
  • Strong work ethic and comfortable working under pressure to tight deadlines
  • High level of accuracy and attention to detail
  • Appreciates the need for confidentiality
  • Conscientious, team player, supportive with a collegiate approach
  • Willingness to take ownership and accountability for delivery
  • Analytical mind-set with the ability to analyse large data sets
  • Keen interest in financial services and stock markets
  • Excellent interpersonal and communication skills, both written and verbal
  • Computer literate in Microsoft Office and Outlook
  • Relevant Compliance or investment management qualification (e.g. Chartered Institute for Securities & Investment, Investment Management Certificate, Investment Operations Certificate) is desirable or willingness to study for industry qualifications
  • Experience within a Compliance function covering Personal Account Dealing and Gifts and Hospitality would be desirable

Recruiter: Helen Simons

Closing Date: 10 April 2023

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.