Compliance Monitoring Officer
Compliance Monitoring Officer
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Job Description
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.
Purpose
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.
Key role specific accountabilities
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.
Key knowledge skills and experience
Minimum requirements:
3 years in a Compliance and/or assurance role
Good knowledge of the wider financial services sector in particular relevant asset manager competitors products and services.
Experience of reviewing and challenging processes and controls and/or undertaking monitoring / surveillance activity within a financial services context
Excellent written and oral communication skills.
Strong planning and organising skills and 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 requirements:
A good understanding of the wider business economic regulatory and market environment in which M&G operates.
A broad understanding of regulatory regimes applicable to asset management (in particular in the UK but general EU US and Asia-Pacific knowledge also positive)
Experience of contributing towards the delivery of risk-based Compliance monitoring plans.
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.
Ifyou need assistanceor an alternative means of applying for a role due to a disability or additional needpleaselet usknow by contacting us at:
Required Experience:
Unclear Seniority
Employment Type
Full-Time
