At a Glance
- Tasks: Support compliance monitoring activities and ensure regulatory adherence across M&G.
- Company: M&G plc is a leading international savings and investments business with over 170 years of experience.
- Benefits: Enjoy flexible working arrangements and workplace accommodations to thrive in your role.
- Other info: We celebrate diversity and welcome applications from all backgrounds, including those with disabilities.
- Why this job: Join a culture of integrity and collaboration, making a real impact in financial services.
- Qualifications: 3+ years in compliance or assurance roles; degree level education preferred.
The predicted salary is between 36000 - 60000 £ per year.
M&G plc Stirling, Scotland, United Kingdom
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M&G plc Stirling, Scotland, United Kingdom
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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.
- 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.
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.
- 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.
- Educated to degree level, or equivalent qualifications/experience and/or professional qualification.
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.
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. Being a Disability Confident Leader means that candidates who meet the minimum criteria of a job, will be offered an interview if they \'opt in\' to the scheme when applying.
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
Seniority level
Seniority level
Not Applicable
Employment type
Employment type
Full-time
Job function
Job function
OtherIndustries
Financial Services and Investment Management
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#J-18808-LjbffrCompliance Monitoring Officer in Stirling employer: M&G plc
M&G plc is an exceptional employer located in Stirling, Scotland, offering a dynamic work culture that prioritises integrity, collaboration, and employee well-being. With a commitment to flexible working arrangements and a strong focus on diversity and inclusion, M&G fosters an environment where employees can thrive and grow professionally. The company also provides ample opportunities for career development within the financial services sector, making it an ideal place for those seeking meaningful and rewarding employment.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Officer in Stirling
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like M&G plc looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Monitoring Officer in Stirling
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at M&G plc. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at M&G plc
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with M&G plc’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
