At a Glance
- Tasks: Join our Compliance team to navigate investment regulations and ensure smooth operations.
- 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 flexible working options.
- Other info: Diverse and inclusive workplace with excellent career growth opportunities.
- Why this job: Make a real impact in the finance world while developing your compliance expertise.
- Qualifications: Experience in compliance or investment operations is preferred; a degree is a plus.
The predicted salary is between 50000 - 70000 £ 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. Through 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 workplace accommodations to ensure you have what you need to effectively deliver in your role.
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.
- Managing restricted dealing list, broker and transaction feeds, which includes:
- 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.
- Assisting in the routine management of the StarCompliance system, which includes:
- 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.
- Developing positive and collaborative relationships with stakeholders, the wider Compliance team and StarCompliance, to ensure the team’s controls and processes are effective.
- Providing monitoring, team cover and carrying out other similar duties, as need and capacity allows, as directed by the Deputy Head of Core Compliance.
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:
- A valuable pension scheme of 18%, with 13% made up of Employer Contributions and 5% Employee Contributions.
- Share Save and our Share Incentive Plan, together with access to financial wellbeing and support services.
- 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.
- 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.
Life at M&G
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 - (Investment / Asset Management) in Stirling employer: M&G
M&G is an exceptional employer that prioritises employee wellbeing and professional growth, offering a comprehensive benefits package including an 18% pension scheme, generous annual leave, and extensive family support policies. Our inclusive culture fosters collaboration and innovation, making it an ideal environment for Compliance Consultants to thrive while navigating the complexities of the investment management industry in a supportive and flexible setting.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Consultant - (Investment / Asset Management) in Stirling
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their values and how they align with your own. This will help you stand out and show that you're genuinely interested in being part of their team.
✨Tip Number 3
Practice your interview skills! Get a friend to do mock interviews with you, focusing on common questions in compliance and asset management. The more comfortable you are, the better you'll perform when it counts.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Compliance Consultant - (Investment / Asset Management) in Stirling
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Consultant role. Highlight your experience in compliance and asset management, and don’t forget to mention any relevant qualifications. We want to see how your background aligns with what we do!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to tell us why you’re passionate about compliance in the investment sector. Share specific examples of your achievements and how they relate to the responsibilities outlined in the job description.
Showcase Your Skills:We’re looking for strong communication and analytical skills, so make sure to highlight these in your application. Provide examples of how you've used these skills in previous roles, especially in compliance or investment operations.
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it gives you a chance to explore more about life at M&G while you’re at it!
How to prepare for a job interview at M&G
✨Know Your Compliance Stuff
Make sure you brush up on the key regulations and compliance standards relevant to the investment and asset management sector. Familiarise yourself with FCA personal account dealing rules and MiFID inducement regulations, as these will likely come up during your interview.
✨Showcase Your Analytical Skills
Prepare to discuss how you've used your analytical mindset in previous roles. Think of specific examples where you processed complex information quickly and presented effective solutions. This will demonstrate your ability to handle the demands of a Compliance Consultant role.
✨Demonstrate Team Spirit
Since collaboration is key in compliance, be ready to share experiences where you developed positive relationships with stakeholders or worked effectively within a team. Highlight your supportive approach and how you contribute to a collegiate environment.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your problem-solving skills in compliance situations. Prepare by thinking through potential breaches or conflicts you might encounter and how you would address them, showcasing your proactive and pragmatic approach.
