Compliance Consultant

4 weeks ago

Edinburgh, United Kingdom M&G Full time

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.

M&G’s Risk and Compliance Department is looking to recruit a Compliance Consultant to join the Core Compliance team. The Core Compliance team are part of the Central Compliance team, and they are responsible for administering and overseeing the operations of the Personal Account Dealing, Gifts and Hospitality and Personal Conflict standards in an efficient and effective manner.

The Fund Management industry is subject to a vast array of different rules and regulations, which are UK, European and Internationally driven. Compliance Departments play an increasingly important part in helping Fund Management Firms and their employees to successfully navigate these rules and regulations.

This is a fantastic opportunity for a motivated and enthusiastic individual, to build up a broad understanding of the rules and regulations underpinning the activities carried out within a leading Investment Management company.

Day to day activities:

Supporting the routine monitoring activities of the team, which includes:

acting as the first escalation point for routine queries and issues case management – review and investigation of exceptions generated by the StarCompliance system logging breaches in the Compliance breach register and completing breach closure activities, such as conducting line manager briefing meetings and liaising with HR, where relevant

Managing the Compliance approval queues in StarCompliance covering personal account dealing trade requests, Compliance forms, outside business activity and gifts and hospitality approvals, ensuring:

timely and accurate reviews are completed in line with procedures discrepancies are followed up and closed out effectively any issues or trends are escalated to Senior Management

Overseeing the quarterly and annual Compliance certification processes, ensuring:

the list of activities in the schedule (prior, during and post) are completed in line with agreed deadlines completion rates are tracked during the period any emerging issues/patterns are escalated to senior management

Supporting the delivery of training sessions to the business, covering the team’s three Compliance Standards, operational processes and StarCompliance system.

Supporting the production and delivery of management information reporting to key stakeholders, local Compliance teams (USA, Luxembourg and Asia), committees and boards, utilising a range of Microsoft applications such as Teams, PowerPoint, Excel and Power BI.

Updating and maintaining team procedures and process documents.

Developing positive and collaborative relationships with stakeholders, the wider Compliance team and StarCompliance, to ensure the team’s controls and processes are effective.

Essential Knowledge & Experience:

Experience of a similar role within a Compliance or Investment Operation function of an Asset Management firm Experience of managing and delivering routine operational processes Experience of working with an automated Personal Account Dealing system (e.g. SunGard/ StarCompliance) - desirable Good knowledge of investment products, covering different asset classes and investment processes Good knowledge of FCA personal account dealing (COBS 11), MiFID inducement and SEC Code of Ethics rules

Job & Personal Skills:

Takes ownership and accountability for delivery Commercially aligned, can do attitude and pragmatic approach to provide advice and resolve issues Self-starter, high levels of initiative and a strong work ethic Effective time management and organisation skills Analytical mind-set with the ability to process information quickly and present solutions Excellent written and oral communication skills High level of accuracy and attention to detail Conscientious, team player, supportive with a collegiate approach

Desirable Qualifications:

University degree preferable (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)

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 or disability 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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