Compliance Monitoring Consultant Compliance Monitoring Consultant …

M&G Group
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Not Specified
M&G Group
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Not Specified
M&G Group
At M&GPrudential our vision is: to become the best loved and most successful savings and investment business and we’re looking for people who are excited about joining us on our journey. We’re digitally transforming and investing heavily in technology and innovation to develop new and

At M&GPrudential our vision is: to become the best loved and most successful savings and investment business and we’re looking for people who are excited about joining us on our journey. We’re digitally transforming and investing heavily in technology and innovation to develop new and improved customer propositions that really raise the bar for our customers. To help us achieve our vision we’re looking for exceptional people who live our values and behaviours and who can inspire others; embrace change; deliver results and keep it simple.

What you can expect from us:

We are committed to creating an environment where you can be exceptional at all you do. To help us deliver this, we promise to:

  • Challenge Your Limits by creating a stimulating working environment and providing opportunities for you to be involved in meaningful and challenging work
  • Support Your Aspirations with a commitment to learning and development that helps you achieve and build your experience with people who want you to succeed
  • Value Your Input whereby leaders and managers will involve you in key decisions, listen to your thoughts and recognise the important contribution you make
  • Balance Your Life through a work life partnership that focuses on making this an inclusive, diverse and friendly place to work and offers the flexibility and support that enables everyone to be at their best



The Role:

·         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

Key Responsibilities:

·         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

You will have:

·         Experience of contributing towards the delivery of risk-based Compliance monitoring plans

·         Extensive regulatory compliance knowledge within the asset management industry

·         A good understanding of UK and other international regulatory requirements

Job & Personal Skills:

·         Excellent written and oral communication skills

·         Strong planning and organising skills, reflecting a proactive approach

·         Attention to detail

·         Self-starter, high levels of initiative and a strong work ethic

·         Team player, supportive with a collegiate approach

Desirable Qualifications:

·         University degree (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

Recruiter Name:               Tom Hunt

Closing Date:                    31/10/2019



At M&GPrudential Diversity and Inclusion is a strategic objective. We know that an inclusive environment makes us more accessible and ensures we attract, engage, promote and retain exceptional people.  We welcome applications from all individuals regardless of age, gender/gender identity, sexual orientation, ethnicity/nationally, disability, or military service and welcome those who have taken career breaks. We will consider flexible working arrangements for any of our roles.


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