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
✨Tip Number 1
Familiarise yourself with M&G's core values and behaviours. Understanding their emphasis on integrity, teamwork, and proactive communication will help you align your approach during interviews and discussions.
✨Tip Number 2
Network with current or former employees of M&G to gain insights into the company culture and expectations for the Compliance Monitoring Officer role. This can provide you with valuable information that may not be available in the job description.
✨Tip Number 3
Stay updated on the latest regulatory changes in the financial services sector, particularly those affecting asset management. Demonstrating your knowledge of current regulations during your interactions can set you apart from other candidates.
✨Tip Number 4
Prepare specific examples from your past experience that showcase your ability to conduct compliance monitoring and risk assessments. Being ready to discuss these examples in detail will help illustrate your qualifications for the role.
We think you need these skills to ace Compliance Monitoring Officer in Stirling
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights relevant experience in compliance and assurance roles. Emphasise your knowledge of the financial services sector and any specific achievements that demonstrate your ability to deliver high-quality compliance monitoring activities.
Craft a Strong Cover Letter:In your cover letter, express your enthusiasm for the Compliance Monitoring Officer role at M&G plc. Discuss how your skills align with their values of integrity and teamwork, and provide examples of how you've successfully managed compliance tasks in the past.
Highlight Relevant Skills:Clearly outline your excellent written and oral communication skills, as well as your attention to detail and proactive approach. These are key attributes for the role, so make sure they stand out in your application.
Showcase Your Knowledge:Demonstrate your understanding of regulatory regimes applicable to asset management, particularly in the UK. Mention any experience you have with risk-based compliance monitoring plans, as this will show your capability to contribute effectively to M&G's compliance efforts.
How to prepare for a job interview at M&G plc
✨Understand the Compliance Landscape
Familiarise yourself with the regulatory frameworks relevant to asset management, particularly in the UK. Being able to discuss current regulations and how they impact M&G will demonstrate your knowledge and preparedness.
✨Showcase Your Analytical Skills
Prepare examples of how you've previously reviewed processes and controls in a compliance context. Highlight your ability to identify issues and recommend effective solutions, as this is crucial for the role.
✨Communicate Clearly and Effectively
Since excellent written and oral communication skills are essential, practice articulating your thoughts clearly. Be ready to explain complex compliance concepts in simple terms, as you may need to draft reports or liaise with various teams.
✨Demonstrate Team Collaboration
M&G values a collegiate approach, so be prepared to discuss how you've successfully worked within teams. Share experiences where you've built positive relationships with colleagues and contributed to a supportive work environment.
