Compliance Monitoring Consultant


The Opportunity

An opportunity has arisen for a Compliance Monitoring Consultant to join M&G Investments. You will be supporting 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.


Your key responsibilities will be:

* 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

Internal & external relationships

* 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

What we are looking for:

For this role it is essential for you to have experience of contributing towards the delivery of risk-based Compliance monitoring plans along with having extensive regulatory compliance knowledge within the asset management industry. You will also need a good understanding of UK and other international regulatory requirements.

You will ideally be degree educated with a relevant compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment). It will also be beneficial for you to have an investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate).

For this role you will need excellent written and oral communication skills and high attention to detail. You will need strong planning and organising skills, reflecting a proactive approach. We are looking for you to be a self-starter with high levels of initiative and a strong work ethic. It is important for you to be a team player, supportive with a collegiate approach to represent the compliance departments values.

The Compliance department provide quality outcomes in everything that they do with a consistent delivery and a pro-active approach. The team like to be open, honest and act with integrity at all times in order to be a respected and trusted partner to the business. It is important for the team to support each other and encourage innovation and creativity in their approach whilst being able to be independent in their actions.

M&G is committed to a diverse and inclusive workplace. Our role as an employer is very simple - to provide the right environment for talented people to do their best work, by respecting, understanding and valuing individual differences.


We welcome applications from individuals who have taken an extended career break, and we are willing to consider flexible working arrangements for all of our roles.

London, England, United Kingdom London England GB