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Compliance Monitoring Specialist

2 months ago

Stirling, Stirling, United Kingdom M&G Full time
{"Job Title": "Compliance Monitoring Consultant", "Job Description": "

We are seeking a highly skilled Compliance Monitoring Consultant to join our team at M&G plc. As a key member of our Compliance function, you will play a critical role in ensuring the delivery of high-quality Compliance monitoring activities across our business.

Key Responsibilities:

  • Deliver risk-based Compliance monitoring plans to test compliance with regulation and legislation, and ensure fair customer outcomes.
  • Lead reviews as required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance.
  • Consult with Compliance Advisory Teams and Risk teams to ensure effective review planning and targeting.
  • Complete review planning, taking into consideration regulatory requirements, breaches, complaints, Operational Risk MI, and KPI information.
  • Undertake testing, recording monitoring testing, findings, and agreed actions using the Compliance monitoring workflow tool.
  • Ensure that where issues are identified, appropriate mitigating actions are recommended to the business and tracked through to completion.
  • Draft and issue formal reports to the business.
  • Liaise with Compliance Advisory Teams on emerging themes and review findings to incorporate into Compliance advice provided to the business.
  • Assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance with the production of periodic reports to Boards and Committees.
  • Assist in maintaining Compliance monitoring risk assessments.

You will have:

  • Experience contributing towards the delivery of risk-based Compliance monitoring plans.
  • Extensive regulatory Compliance knowledge within the asset management industry.
  • A good understanding of UK and other international regulatory requirements.

Job & Personal Skills:

  • Excellent written and oral communication skills.
  • Strong planning and organizing skills, reflecting a proactive approach.
  • Attention to detail.
  • Self-starter, high levels of initiative, and a strong work ethic.
  • Team player, supportive with a collegiate approach.

Desirable Qualifications:

  • University degree (or equivalent).
  • Relevant Compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment).
  • Relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate).

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.

", "lang_code": "en-US"}