Compliance Monitoring Specialist
3 days ago
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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