Compliance Monitoring Specialist

5 days ago


Stirling, Stirling, United Kingdom M&G Full time
Job Description

We are seeking a highly skilled Compliance Monitoring Consultant to join our team at M&G plc.

Key Responsibilities:
  1. Deliver high-quality Compliance monitoring activities across the M&G business, including regular testing, thematic, and ad-hoc reviews.
  2. Lead reviews as required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance.
  3. Collaborate with Compliance Advisory Teams and Risk teams to ensure effective review planning.
  4. Complete review planning, considering 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 issues are addressed with recommended mitigating actions and tracked to completion.
  7. Draft and issue formal reports to the business.
  8. Liaise with Compliance Advisory Teams on emerging themes and review findings.
  9. Assist with the production of periodic reports to Boards and Committees and maintain compliance monitoring risk assessments.
Requirements:
  • 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.
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.



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