Compliance Monitoring Consultant

M&G Investments

We are not your average financial services firm and our unique culture is just one aspect that makes us stand out from the crowd. We offer a supportive environment that encourages innovation and creativity whilst maintaining a healthy lifestyle balance. You will be joining one of Europe's leading Investment Management firms where you can expect real responsibility and recognition from day one. We are large enough to offer a wide variety of career opportunities, whilst small enough to treat you as an individual and tailor training and development to your specific needs.

The Role

To support the Compliance Monitoring Manager and Head of Compliance Monitoring & Assurance in delivering high quality Compliance monitoring activities across M&G in an efficient and targeted manner.

Your 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.
• Develop positive and professional working relationships within the Risk and Compliance Departments, Group-wide Internal Audit, with senior managers throughout M&G and at its third party service providers.

What we are Looking For…

You should have experience of contributing towards the delivery of risk-based Compliance monitoring plans and extensive regulatory compliance knowledge within the asset management industry.

A good understanding of UK regulatory requirements is needed and experience of other international regulatory requirements would be desirable

You will ideally have a University degree (or equivalent) and relevant Compliance qualification(s) (e.g. International Compliance Association, Chartered Institute for Securities & Investment).

It is also desirable for you to have a relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate)

You will have excellent written and oral communication skills and strong planning and organising skills, reflecting a proactive approach.

It is expected you will be a Self-starter, have high levels of initiative and a strong work ethic along with excellent attention to detail.

Strength of character that enables effective communication across all levels of the organisation

You will be a team player, supportive with a collegiate approach. M&G is committed to a diverse and inclusive workplace. Our role as an employer is very simple - to provide the right environment for talented people to do their best work, by respecting, understanding and valuing individual differences