Compliance Monitoring Specialist

7 days ago

Stirling, Stirling, United Kingdom M&G plc. Full time
About the Role

We are seeking a highly skilled Compliance Monitoring Officer to join our team at M&G plc. As a key member of our Compliance function, you will play a critical role in ensuring that our business operates in accordance with regulatory requirements and delivers fair customer outcomes.

Key Responsibilities
  • Deliver high-quality Compliance monitoring activities across the M&G business, including regular testing, thematic reviews, and desk-based sample reviews.
  • Lead and assist reviews as required by the Compliance Monitoring Manager, consulting with Compliance Advisory teams and Risk teams to ensure effective 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.
Management Information & Data Analytics
  • Provide input to the compliance monitoring risk assessments.
  • Collate relevant data and MI on emerging business and regulatory risks for incorporation into Compliance advice and oversight provided to the business.
Engagement
  • Develop strong collaborative relationships with internal stakeholders.
  • Stay aware of business priorities and expectations.
Key Skills and Qualifications
  • Good planning and organizing skills, reflecting a proactive approach.
  • Strong written and oral communication skills.
  • Strong business intelligence and analytics skills.
  • Attention to detail.
  • Self-starter, high levels of initiative, and a strong work ethic.
  • Team player, supportive with a collegiate approach.
Industry Knowledge
  • Awareness and understanding of the wider business, economic, regulatory, and market environment in which M&G plc operates.
  • Knowledge of the wider global financial services sector.
  • Understanding of Compliance Monitoring within a global asset management business.
  • Experience of contributing towards the delivery of risk-based Compliance monitoring plans or similar.
Regulatory Knowledge
  • Good understanding of the regulatory frameworks that underpin the UK and International regulatory regimes applicable to asset management.
  • Educated to degree level, or equivalent qualifications/experience, and/or professional qualification.

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