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A new part of the wider Control Monitoring Team, is being sought to provide the first line of defence within the Investment Operations area of the business.
This person will sit in Investment Operations to provide incident management services (including coverage of 3rd parties).
The Head of Investment Operations Control Monitoring is expected to be available to give advice on control environment during times of change and/or with project initiatives. Advice is given internally (to staff within the business) and externally (to Risk, Audit, Compliance, Clients or Regulator etc.)
This person is expected to work closely with the other Control Monitoring teams (in Equities and Fixed Income).
You will be responsible for the following tasks:
The Investment Operations Control Monitoring Team, as part of the first line of defence within Investment Operations, are expected to conduct a number of key Back Office controls, the most significant of which include:
Incident Management Provision of incident management, training and reporting to clients
Critical Control Monitoring Including dealing and managing, conflicts, conduct etc, but also to consider CASS; disclosures; data; corporate actions; AIFMD; EMIR; valuations etc.
Conflicts of Interest Monitoring Operations conflicts of interest risk assessments Maintenance of the Investment Operations conflicts of interest register
Conduct (Treating Customers Fairly) Monitoring front office conduct / TCF issue reviews Back office reporting in relation to conduct / TCF
Control Advice During Projects/Change Provision of control environment advice in relation to change projects and/or reviews of the department (by non-front office staff, which could include clients).
What we are looking for:
You will have experience of an Investment Operations environment, with emphasis on a good working knowledge of procedures, controls for administering funds. You should also have experience in how incidents have been managed and reported (e.g. to clients). It is highly important for you to have previously demonstrated an evidence-based approach (or audit-style approach) to monitoring all key front office activities with clearly monthly reporting. Attention to detail is key for this role, is experience evidence gathering from various systems will be required (e.g. Aladdin, voice recording etc.) You should be able to flag unusual exceptions and agree mitigating actions with all relevant stakeholders.
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.