Compliance Monitoring Consultant - 12 Month FTC

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Compliance Monitoring Consultant – 12 Month FTC, Greater London

Client:

M&G

Location:

Greater London, United Kingdom

Job Category:

Consulting

EU work permit required:

Yes

Job Reference:

db55ced4b3f0

Job Views:

6

Posted:

03.03.2025

Expiry Date:

17.04.2025

Job Description:

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.

Key Responsibilities:

1. 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.
2. Lead reviews as/when required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance.
3. Consult with the Compliance Advisory Teams and Risk teams to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively.
4. Complete review planning, considering regulatory requirements, breaches, complaints, Operational Risk MI and KPI information, as appropriate.
5. Undertake testing; recording monitoring testing, findings and agreed actions using the compliance monitoring workflow tool.
6. Responsible for ensuring that where issues are identified, appropriate mitigating actions are recommended to the business and tracked through to completion.
7. Draft and issue formal reports to the business.
8. Liaise with the Compliance Advisory Teams on emerging themes and review findings to incorporate them into the Compliance advice provided to the business.
9. 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.
10. Ad-hoc and periodically assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance in maintaining compliance monitoring risk assessments.

You will have:

1. Experience of contributing towards the delivery of risk-based Compliance monitoring plans.
2. Extensive regulatory compliance knowledge within the asset management industry.
3. A good understanding of UK and other international regulatory requirements.

Job & Personal Skills:

1. Excellent written and oral communication skills.
2. Strong planning and organising skills, reflecting a proactive approach.
3. Self-starter, high levels of initiative and a strong work ethic.
4. Team player, supportive with a collegiate approach.

Desirable Qualifications:

1. University degree (or equivalent).
2. Relevant Compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment).
3. Job Level: Experienced Colleague.

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 or disability, 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.

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