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Compliance Monitoring Specialist

2 months ago

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

M&G plc is seeking a highly skilled Compliance Monitoring Specialist to join our team. As a Compliance Monitoring Specialist, you will play a critical role in ensuring that our business operates in compliance with regulatory requirements and delivers fair customer outcomes.

Key Responsibilities:
  1. Deliver high-quality Compliance monitoring activities across the M&G business, including regular testing, thematic, and desk-based sample reviews.
  2. Lead and assist reviews as required by the Compliance Monitoring Manager.
  3. Consult with Compliance Advisory teams and Risk teams to ensure that review planning is effective and targeted.
  4. Complete review planning, taking into consideration regulatory requirements, breaches, complaints, Operational Risk MI, and KPI information.
  5. Undertake testing, recording monitoring testing, findings, and agreed actions using the compliance monitoring workflow tool.
  6. Ensure that where issues are identified, appropriate mitigating actions are recommended to the business and tracked through to completion.
  7. Draft and issue formal reports to the business.
Management Information & Data Analytics:
  1. Provide input to compliance monitoring risk assessments.
  2. Collate relevant data and MI on emerging business and regulatory risks to inform Compliance advice and oversight.
Engagement:
  1. Develop an awareness and understanding of business priorities and expectations.
Key Knowledge and Skills:
  1. Good planning and organizing skills, reflecting a proactive approach.
  2. Strong business intelligence and analytics skills.
Industry Knowledge:
  1. Understand the wider business, economic, regulatory, and market environment in which M&G plc operates.
  2. Knowledge of the global financial services sector.
  3. Understanding of Compliance Monitoring within a global asset management business.
  4. Experience of contributing towards the delivery of risk-based Compliance monitoring plans.
Regulatory Knowledge:
  1. Good understanding of regulatory frameworks applicable to asset management in the UK and internationally.

M&G plc is an equal opportunities employer and welcomes applications from diverse candidates. We offer a range of benefits, including flexible working arrangements and workplace accommodations, to support our employees in delivering their roles effectively.