Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Join our Compliance team to oversee operations and ensure adherence to regulations.
- Company: M&G, a leading investment management firm with over 175 years of innovation.
- Benefits: Enjoy 38 days annual leave, a generous pension scheme, and private healthcare.
- Other info: Flexible working arrangements and a commitment to diversity and inclusion.
- Why this job: Make a real impact in compliance while developing your skills in a supportive environment.
- Qualifications: Experience in compliance or investment operations is preferred; a degree is a plus.
The predicted salary is between 40000 - 50000 £ per year.
Our purpose is to give everyone real confidence to put their money to work. With a heritage dating back more than 175 years, we have a long history of innovation in savings and investments, combining asset management and insurance expertise to offer a wide range of solutions. Our two distinct operating segments, Asset Management and Life, work together to provide access to balanced, long-term investment and savings solutions.
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 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 join a dedicated team and 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:
- Overseeing the cases management process, ensuring:
- Daily cases generated by the StarCompliance system are investigated and closed out in a timely manner, and in line with procedures
- Breaches identified are logged in the Compliance breach register and breach closure activities are completed, such as conducting line managers briefings, liaising with HR and other relevant parties, where relevant
- Any issues or trends are escalated to Senior Management
- Maintaining the firm’s restricted dealing list in Star
- Undertaking daily broker reconciliation reviews, ensuring all discrepancies are closed out timely and any issues are followed up with the broker
- Assisting with new broker feeds, liaising with Procurement, Legal, external third parties and StarCompliance, from initiation to implementation stage
- Investigating and resolving issues related to the on-going maintenance of feed processes
- Day to day system administration
- Maintaining lists, documents, certifications and workflow processes
- Investigating and resolving issues related to the on-going maintenance of the processes
- Fielding and resolving business queries received into the team inboxes.
- Updating and maintaining team procedures and process documents.
- 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.
Essential Knowledge & Experience:
- Experience of a similar role within a Compliance or Investment Operation function of an Asset Management firm
- Experience of working with and building workflow tools
- Experience of managing and delivering routine operational processes
- Experience of working with an automated Personal Account Dealing system (e.g. FIS Employee Compliance Manager, Comply, MyComplianceOffice, 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
- Strong communication and interpersonal skills, including confidence in interactions with colleagues at all levels
- 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)
What we offer:
At M&G, we’re committed to helping you thrive and supporting your wellbeing, both at work and beyond. Our benefits are designed to help you balance your professional and personal life, while planning confidently for your future. Our UK benefits include:
- As a savings and Investments firm we are proud to offer a valuable pension scheme of 18%, with 13% made up of Employer Contributions and 5% Employee Contributions. We also offer Share Save and our Share Incentive Plan, together with access to financial wellbeing and support services.
- Enjoy 38 days annual leave including bank holidays, with the opportunity to purchase up to 5 extra days and additional flexibility through our Time Off When You Need It policy.
- Our market leading Inspiring Families policy includes comprehensive support and paid parental leave covering maternity, adoption, surrogacy, and paternity leave.
- Health & Protection cover including Private Healthcare, Critical Illness cover and Life Assurance for you, with family options.
We have a diverse workforce and an inclusive culture at M&G, 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.
M&G is also proud to be a Disability Confident Leader, and we welcome applications from candidates with long-term health conditions, disabilities, or neuro-divergent conditions. If you need assistance or an alternative means of applying for a role due to a disability or additional need, please let us know by contacting us at: careers@mandg.com
Compliance Consultant in Stirling employer: M&G FA Limited
Contact Detail:
M&G FA Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultant in Stirling
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and investment sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching M&G’s values and recent news. Show us you’re genuinely interested in our mission to help people manage their money. Tailor your answers to reflect how your skills align with our goals in compliance.
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or use online platforms. Focus on articulating your experience in compliance and how it relates to the role. Confidence is key, so get comfortable talking about your achievements.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows us you’re serious about joining our team at M&G. Keep an eye on our careers page for the latest opportunities!
We think you need these skills to ace Compliance Consultant in Stirling
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Compliance Consultant role. Highlight your relevant experience in compliance and investment operations, and show us how you align with our values of integrity and collaboration.
Showcase Your Skills: We want to see your analytical mindset and attention to detail shine through. Use specific examples from your past roles to demonstrate how you've successfully navigated compliance challenges or improved processes.
Be Clear and Concise: When writing your application, keep it straightforward and to the point. We appreciate clarity, so avoid jargon and ensure your key points stand out. This will help us quickly see why you're a great fit for the team!
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it’s super easy to do!
How to prepare for a job interview at M&G FA Limited
✨Know Your Compliance Stuff
Make sure you brush up on the key regulations and compliance standards relevant to the role. Familiarise yourself with FCA personal account dealing rules and MiFID inducement guidelines, as these will likely come up during your interview.
✨Showcase Your Analytical Skills
Prepare examples that demonstrate your analytical mindset. Think of situations where you've processed complex information quickly and presented effective solutions. This will highlight your ability to handle the demands of the Compliance Consultant role.
✨Be a Team Player
Emphasise your experience in building collaborative relationships. Share stories about how you've worked effectively within a team, especially in compliance or investment operations, to show that you can contribute positively to their Core Compliance team.
✨Master the Tech Tools
Familiarise yourself with automated Personal Account Dealing systems like StarCompliance. If you have experience with workflow tools, be ready to discuss how you've used them to manage operational processes efficiently.