Compliance Monitoring Specialist
7 days ago
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 monitoring activities, recording 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 to incorporate emerging themes and review findings into Compliance advice provided to the business.
- 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.
- 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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