Compliance Monitoring Specialist

24 hours ago

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

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:
  • Design and implement risk-based Compliance monitoring plans to test compliance with regulation and legislation.
  • Lead reviews and thematic exercises to identify and mitigate Compliance risks.
  • Collaborate with Compliance Advisory Teams and Risk teams to ensure effective review planning and targeting.
  • Undertake testing and recording of monitoring findings and agreed actions using our Compliance monitoring workflow tool.
  • Develop and implement mitigating actions to address identified Compliance issues.
  • Draft and issue formal reports to the business on Compliance monitoring activities and findings.
  • Liaise with Compliance Advisory Teams on emerging themes and review findings to inform Compliance advice to the business.
Requirements:
  • Experience in contributing to the delivery of risk-based Compliance monitoring plans.
  • Extensive knowledge of regulatory Compliance within the asset management industry.
  • Good understanding of UK and 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).

M&G plc is an equal opportunities employer and welcomes applications from diverse candidates. We offer a supportive and inclusive work environment, with opportunities for professional development and growth.

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