Responsibilities
:
1. Responsible for the delivery of high qualitypliance monitoring activities across the M&G business. Activities include regular testing, thematic and ad-hoc reviews to test bothpliance with regulation / legislation and the delivery of fair customer oues
2. Lead reviews as/when required by thepliance Monitoring Manager/Head ofpliance Monitoring & Assurance
3. Consult with thepliance Advisory Teams and Risk teams in order to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively
4. Undertake testing; recording monitoring testing, findings and agreed actions using thepliance monitoring workflow tool
5. Responsible for ensuring that where issues are identified appropriate mitigating actions are rmended to the business and tracked through topletion
6. Draft and issue of formal reports to the business
7. Liaising with thepliance Advisory Teams on emerging themes and review findings in order for these to be incorporated into thepliance advice provided to the business
8. On an ad-hoc basis assist thepliance Monitoring Manager/Head ofpliance Monitoring & Assurance with the production of periodic reports to Boards andmittees
9. Ad-hoc and on a periodic basis assist thepliance Monitoring Manager/Head ofpliance Monitoring & Assurance in maintainingpliance monitoring risk assessments
You will have:
10. Experience of contributing towards the delivery of risk-basedpliance monitoring plans
11. Extensive regulatorypliance knowledge within the asset management industry
12. A good understanding of UK and other international regulatory requirements
Job & Personal Skills:
13. Excellent written and oralmunication skills
14. Strong planning and organising skills, reflecting a proactive approach
15. Attention to detail
16. Self-starter, high levels of initiative and a strong work ethic
17. Team player, supportive with a collegiate approach
Desirable Qualifications:
18. University degree (or equivalent)
19. Relevantpliance qualification ( Internationalpliance Association, Chartered Institute for Securities & Investment)
20. Relevant investment management qualification ( Investment Management Certificate, Investment Operations Certificate)
21. Recruiter Name: Helen Simons
22. 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 diversemunities 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 wee those who take part in military service and those returning from career breaks.
Job ID R13932