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Compliance Monitoring Analyst

M&G plc.
Closing date
3 Aug 2021

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At M&G 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.

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/nationality, disability, or military service and welcome those who have taken career breaks. We will consider flexible working arrangements or home working arrangements for any of our roles.

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

How do we support our employees:
All M&G plc employees will be supported in the workplace through our M&G Employee Assistance Programme (EAP). If you need counselling, confidential financial or legal advice. The service is available 24 hours a day, 365 days a year and offers access to qualified professionals who can provide specialist information, advice and support on many issues. It offers a broad range of services, including help with family issues, maintaining work/life balance and mental health support.

  • 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
  • In this role you: - Are focused primarily on delivering quality work - Are clear on expected outputs and work within guidelines to achieve them - Work closely with others in your team

Work Level Accountabilities:

Experienced Colleague:
  • Accountable for providing a quality service or product to customers and stakeholders, using skills/experience built through significant practical experience or training
  • For team leaders, accountable for ensuring the team the role supports is delivering a quality service or product
  • Works within established frameworks and procedures, with the freedom to interpret them to solve a range of problems
  • Delivers outputs that are clearly defined, using discretion over how to achieve them
  • Makes suggestions for improvements to the work of the team, based on previous experience and knowledge of similar situations

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

Essential Knowledge & Experience:
  • Previous experience within a Compliance Monitoring function
  • Regulatory compliance knowledge within the asset management industry
  • An understanding of UK and other international regulatory requirements

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
  • Undertake 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

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
  • Job Level: Experienced Colleague
  • Closing Date: 06/08 /2021

We live by four behaviours at M&G and we ask all our employees to:
  • Inspire Others - Support and encourage each other, creating an environment where everyone can contribute and succeed
  • Embrace Change - Be open to change, willing to be challenged and able to adapt quickly and imaginatively to new ideas
  • Deliver Results - Focus on outcomes, set high standards and deliver with energy and determination
  • Keep it Simple - Cut through complexity and bureaucracy, be clear and decisive and never overcomplicate things
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