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Compliance Monitoring Consultant

Employer
M&G plc
Location
Edinburgh, United Kingdom
Salary
Competitive
Closing date
22 Jun 2024

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Sector
Audit
Role
Consultant
Contract Type
Permanent
Hours
Full Time

Job Details

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 our vision we're looking for exceptional people who live our values of care and integrity and who can inspire others; embrace change; deliver results and keep it simple.

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 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
    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.

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