Compliance Monitoring Consultant

3 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.

Key Responsibilities:

Responsible for the delivery of high quality Compliance monitoring activities across the M&G business. Activities include regular testing, thematic and ad-hoc reviews to test both compliance with regulation / legislation and the delivery of fair customer outcomes Lead reviews as/when required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance Consult with the Compliance Advisory Teams and Risk teams in order 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 Liaising with the Compliance Advisory Teams on emerging themes and review findings in order for these to be incorporated into the Compliance advice provided to the business On an ad-hoc basis assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance with the production of periodic reports to Boards and Committees Ad-hoc and on a periodic basis assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance in maintaining compliance monitoring risk assessments

You will have:

Experience of contributing towards the delivery of risk-based Compliance monitoring plans Extensive regulatory compliance knowledge within the asset management industry A good understanding of UK and other international regulatory requirements

Job & Personal Skills:

Excellent written and oral communication skills Strong planning and organising skills, reflecting a proactive approach Attention to detail Self-starter, high levels of initiative and a strong work ethic Team player, supportive with a collegiate approach

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) Recruiter Name: Helen Simons Job Level: Experienced Colleague

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.



  • Edinburgh, United Kingdom M&G plc Full time

    At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities. To help us achieve...


  • Edinburgh, Scotland, United Kingdom M&G plc. Full time

    At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities . To help us achieve...


  • Edinburgh, Scotland, United Kingdom M&G plc. Full time

    At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities . To help us achieve...


  • Edinburgh, United Kingdom M&G plc. Full time

    At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities . To help us...


  • Edinburgh, United Kingdom M&G plc. Full time

    At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities . To help us achieve...


  • Edinburgh, United Kingdom M&G plc Full time

    At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities. To help us achieve...


  • Edinburgh, United Kingdom M&G plc. Full time

    At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities . To help us...


  • Edinburgh, United Kingdom abrdn Full time

    Job Description Job Title: Monitoring & Oversight Consultant **Job Type**: Permanent Location: London or Edinburgh (with blended home working) Reports to: Monitoring & Oversight Manager Function: Enterprise Risk, Risk & Compliance Are you curious, highly organised, with an eye for detail? Do you seek a role where you can use your knowledge and...


  • Edinburgh, United Kingdom Diligenta Full time

    **Who are Diligenta?** Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as ‘home’ by existing employees, we drive a culture that is founded...


  • Edinburgh, United Kingdom Meraki Full time

    **Compliance Monitoring and Testing** **Edinburgh** **12 Month Contract** **Competitive Rate** Global team which identifies and assesses regulatory and conduct risk and delivers an annual program of Compliance Monitoring reviews and risk assessments. The team has members across the global organization who work closely together on a day-to-day basis. The...

  • Compliance Consultant

    2 weeks ago


    Edinburgh, United Kingdom Wilkinson & Associates Ltd Full time

    W&A is partnering with a global asset management organisation based in Edinburgh. They have an opportunity for a Compliance Consultant to join their finance function. This role will provide assurance that trading activities on all asset classes comply with required regulations and policy requirements on market abuse, best execution, and conduct. You will...


  • Edinburgh, United Kingdom Wilkinson & Associates Ltd Full time

    W&A is partnering with a global asset management organisation based in Edinburgh. They have an opportunity for a Compliance Consultant to join their finance function. This role will provide assurance that trading activities on all asset classes comply with required regulations and policy requirements on market abuse, best execution, and conduct. You will...


  • Edinburgh, United Kingdom Wilkinson and Associates Full time

    WA is partnering with a global asset management organisation based in Edinburgh. They have an opportunity for a Compliance Consultant to join their finance function. This role will provide assurance that trading activities on all asset classes comply with required regulations and policy requirements on market abuse, best execution, and conduct. You will...


  • Edinburgh, United Kingdom Eden Scott Full time

    My client is a highly reputable and well known company across the UK providing support and service to businesses in an advisory capacity. Due to further expansion and an increase in business, they are recruiting for at least one further Diploma qualified consultant to join their team in the central belt. The main responsibilities of the job will be to...


  • Edinburgh, United Kingdom Eden Scott Full time

    My client is a highly reputable and well known company across the UK providing support and service to businesses in an advisory capacity. Due to further expansion and an increase in business, they are recruiting for at least one further Diploma qualified consultant to join their team in the central belt. The main responsibilities of the job will be to...


  • Edinburgh, United Kingdom Royal London Full time

    Job Title: Marketing Compliance Consultant Contract Type: Permanent Location: London Working style: Hybrid 50% home/office based Closing date: 7th June 2024 Royal London’s Marketing and Communications team have an exciting new opportunity for a Marketing Compliance Consultant to join the team. This is a newly created role whereby...


  • Edinburgh, United Kingdom Royal London Full time

    Job Title: Marketing Compliance Consultant Contract Type: Permanent Location: London Working style: Hybrid 50% home/office based Closing date: 7th June 2024 Royal London’s Marketing and Communications team have an exciting new opportunity for a Marketing Compliance Consultant to join the team. This is a newly created role whereby...


  • Edinburgh, United Kingdom M&G plc. Full time

    At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities . To help us...

  • Compliance Consultant

    2 months 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...


  • Edinburgh, United Kingdom MERJE Ltd Full time

    This unique opportunity means that you can expect to be involved in a broad range of topics and is ideal for someone with strong Compliance experience focussing around Investments. **The role will involve**: - Undertaking regular compliance monitoring - Monitoring risk across multiple workstreams - Supporting decision making and overseeing work within a...