Compliance Monitoring Officer

4 weeks ago

Stirling, Stirling, United Kingdom M&G plc. Full time
Compliance Monitoring Officer Role

M&G plc is seeking a highly skilled Compliance Monitoring Officer to join our team. As a Compliance Monitoring Officer, you will play a critical role in delivering high-quality Compliance Monitoring activities across the M&G business.

Key Responsibilities:
  • Responsible for the delivery of high-quality Compliance monitoring activities across the M&G business.
  • Lead and assist reviews when required by the Compliance Monitoring Manager.
  • Consult with the Compliance Advisory teams and Risk teams to ensure that the selection, scope setting, and approach to delivering reviews are planned and targeted effectively.
  • Complete review planning, taking into consideration regulatory requirements, breaches, complaints, Operational Risk MI, and KPI information, as appropriate.
  • Undertake testing; recording monitoring testing, findings, and agreed actions using the compliance monitoring workflow tool.
  • Responsible for ensuring that where issues are identified, appropriate mitigating actions are recommended to the business and tracked through to completion.
  • Draft and issue formal reports to the business.

Management Information & Data Analytics
  • Provide input to the compliance monitoring risk assessments.
  • Collate relevant data and MI on emerging business and regulatory risks in order for these to be incorporated into the Compliance advice and oversight provided to the business by the Compliance Advisory teams.

Engagement
  • An awareness and understanding of the business priorities and expectations.
  • Develop strong collaborative relationships with internal stakeholders.

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

Industry Knowledge
  • An awareness and understanding of the wider business, economic, regulatory, and market environment in which M&G plc operates.
  • Knowledge of the wider global financial services sector.
  • An understanding of Compliance Monitoring within a global asset management business.
  • Experience of contributing towards the delivery of risk-based Compliance monitoring plans or similar.

Regulatory Knowledge
  • Good understanding of the regulatory frameworks that underpin the UK and International regulatory regimes applicable to asset management.
  • Educated to degree level, or equivalent qualifications/experience, and/or professional qualification.

Qualifications
  • Educated to degree level, or equivalent qualifications/experience, and/or professional qualification.

M&G plc is an equal opportunities employer and welcomes applications from diverse candidates. We are committed to creating an inclusive culture that values diversity and promotes equality of opportunity. If you need assistance or an alternative means of applying for a role due to a disability or additional need, please let us know by contacting us at: careers@mandg.com

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