Compliance Monitoring Specialist

7 days ago

Stirling, Stirling, United Kingdom M&G Full time

We are committed to fostering a culture of compliance at M&G plc, and we are seeking a skilled Compliance Monitoring Specialist to join our team.

Key Responsibilities:

  • Deliver high-quality Compliance monitoring activities across the M&G business, including regular testing, thematic, and ad-hoc reviews to ensure compliance with regulations and legislation.
  • Lead reviews as required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance.
  • Collaborate with the 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 the Compliance Advisory Teams on emerging themes and review findings.
  • Assist with the production of periodic reports to Boards and Committees and maintain compliance monitoring risk assessments.

You will have:

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

Job & Personal Skills:

  • Excellent written and oral communication skills.
  • Strong planning and organizing skills, reflecting a proactive approach.
  • Attention to detail.
  • Self-starter, high levels of initiative, and a strong work ethic.
  • Team player, supportive with a collegiate approach.

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).

We have a diverse workforce and an inclusive culture at M&G plc, underpinned by our policies and employee-led networks. We welcome applications from exceptional individuals, regardless of gender, ethnicity, age, sexual orientation, nationality, or disability.

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