Compliance Monitoring Specialist

3 days ago


Edinburgh, Edinburgh, United Kingdom M&G Full time

About the Role:

We are seeking a highly skilled Compliance Monitoring Specialist to join our team at M&G. 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 regular testing, thematic, and ad-hoc reviews to test compliance with regulation and legislation, as well as 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 review planning is effective and targeted.
  • Complete review planning, considering 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 issues are addressed with recommended mitigating actions tracked through to completion.
  • Draft and issue formal reports to the business.
  • Liaise with Compliance Advisory Teams on emerging themes and review findings for incorporation into Compliance advice.
  • Assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance with periodic reports to Boards and Committees.
  • Maintain compliance monitoring risk assessments on an ad-hoc and periodic basis.

Requirements:

  • Experience in contributing to risk-based Compliance monitoring plans.
  • Extensive regulatory compliance knowledge within the asset management industry.
  • Good understanding of UK and other international regulatory requirements.

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).

About M&G:

We have a diverse workforce and an inclusive culture at M&G, underpinned by our policies and employee-led networks. We welcome applications from individuals who share our values and are committed to creating a workplace where everyone feels valued and supported.



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