Compliance Monitoring Specialist
5 days ago
We are seeking a highly skilled Compliance Monitoring Consultant to join our team at M&G plc.
Key Responsibilities:- Deliver high-quality Compliance monitoring activities across the M&G business, including regular testing, thematic, and ad-hoc reviews.
- Lead reviews as required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance.
- Collaborate with Compliance Advisory Teams and Risk teams to ensure effective review planning.
- 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 and tracked to completion.
- Draft and issue formal reports to the business.
- Liaise with 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.
- Experience in contributing to risk-based Compliance monitoring plans.
- Extensive regulatory compliance knowledge within the asset management industry.
- Good understanding of UK and other 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.
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Compliance Monitoring Specialist
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Stirling, Stirling, United Kingdom M&G Full timeWe are seeking a Compliance Monitoring Specialist 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 the business.Key Responsibilities:Deliver regular testing, thematic, and ad-hoc reviews to test compliance with...
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