Compliance Monitoring Officer

3 hours ago

Stirling, County Stirling, United Kingdom M&G plc. Full time
At M&G our purpose is to give everyone real confidence to put their money to work. As an international savings and investments business with roots stretching back more than 170 years, we offer a range of financial products and services through Asset Management, Life and Wealth. All three operating segments work together to deliver attractive financial outcomes for our clients, and superior shareholder returns.

Through our behaviours of telling it like it is, owning it now, and moving it forward together with care and integrity; we are creating an exceptional place to work for exceptional talent.

We will consider flexible working arrangements for any of our roles and also offer work place accommodations to ensure you have what you need to effectively deliver in your role.

This role supports the Head of Compliance Monitoring in delivering high quality Compliance Monitoring activities across M&G in an efficient and targeted manner.

Key Role Specific Accountabilities: Compliance Monitoring
  • Responsible for the delivery of high quality Compliance monitoring activities across the M&G business. Activities include regular testing plus thematic and desk based sample reviews to test both compliance with regulation / legislation and the delivery of fair customer outcomes.
  • 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 of 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 organising 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 plan or similar.

Regulatory Knowledge
  • Good understanding of the regulatory frameworks that underpins 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.

Experience Level: Experienced Colleague
Recruiter: Helen Simons

We have a diverse workforce and an inclusive culture at M&G plc, underpinned by our policies and our employee-led networks who provide networking opportunities, advice and support for the diverse communities our colleagues represent. Regardless of gender, ethnicity, age, sexual orientation, nationality, disability or long term condition, we are looking to attract, promote and retain exceptional people. We also welcome those who take part in military service and those returning from career breaks.

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