Compliance Monitoring Officer

Recruiter
M&G Prudential
Location
London (Greater)
Posted
22 Mar 2019
Closes
27 Mar 2019
Sector
Legal
Contract Type
Permanent
Hours
Full Time
Working with M&G Prudential as a Compliance Monitoring Officer means becoming part of a brand with a global reputation and an exciting vision: to become the best loved and most successful savings & investments business. The forthcoming planned de-merger of M&G Prudential from the Prudential Group PLC provides a terrific opportunity to create a truly international and integrated savings and investments firm. A firm built on a rich and long history and with a commitment to an innovative future centred on the needs of customers and clients. There is a genuine opportunity to drive competitive advantage with value creation through the formation of this new organisation. If you're inspired to join us, and have the necessary qualities, then this could be the opportunity you've been looking for. The Role: The purpose of this role is to support the Compliance Monitoring Manager and Head of Compliance Monitoring & Assurance in delivering high quality Compliance monitoring activities across M&GPrudential in an efficient and targeted manner. Key Responsibilities: Responsible for the delivery of high quality Compliance monitoring activities across the M&GPrudential 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 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 People who work at M&G Prudential agree that ours is a great place to work with a brilliant team spirit. It's also an innovative, high-performing, commercial environment that's totally focused on customers. As an M&G Prudential colleague you'll get all the support you'd expect, including full training and professional development. You'll receive a competitive salary and reward package. And in a fast-changing world, you'll join an organisation that's leading the way in helping customers achieve their long-term financial goals. M&G Prudential 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. Recruiter: Hannah Macmillan Location: London

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