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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
Understand the team's capacity and capabilities; manage and delegate work appropriately
Provide effective oversight and ensure the team's output is of consistent high quality
Lead reviews as/when required by the Head of Compliance Monitoring and 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 support the Head of Compliance Monitoring and Assurance with the production of periodic data for reporting to Boards and Committees in conjunction with the framework and reporting team
Support the Head of Compliance Monitoring and Assurance in completion of the annual planning process; which may include key stakeholder engagement to obtain feedback, creation of a draft compliance monitoring programme and presentation to key Boards and Committees for discussion and approval
Explore opportunities to enhance efficiency, capacity and quality; this includes the use of new technology and software applications where relevant
Be creative and identify solutions to any challenges that may arise in executing the delivery of Compliance methodologies and approaches
Support the Head of Compliance Monitoring and Assurance in maintaining compliance monitoring risk assessments
Ensure the team's procedures and associated Controls Self Certifications ("CSCs") are accurate and up to date
Deputise for the Head of Compliance Monitoring and Assurance in meetings when required
Internal & external relationships
Develop and maintain strong key stakeholder relationships
Liaise closely with the specialist Compliance Advisory teams
Liaise closely with Operational teams who manage M&G's relationships with third party providers
Develop positive and professional working relationships within the Risk, Compliance and Group-wide internal Audit departments
Play a key role in embedding M&G culture and Compliance Department values within the team
Lead meetings, communicate succinctly with senior stakeholders with the ability to influence decisions
Develop a good understanding of the Compliance Department and wider M&G governance framework; providing guidance to other Compliance Department personnel to the extent required
Maintain relationships with external peers; understand how other firms respond to common challenges
Provide input to the training and development plans for new and existing staff
Define the role and objectives of direct reports
Responsible for performance management reviews of direct reports
* 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) * 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 * Strength of character that enables effective communication across all levels of the organisation * Team player, supportive with a collegiate approach * Previous experience in managing small teams would be desirable * 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 regulatory requirements * Experience of other international regulatory requirements would be desirable
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.