Compliance Consultant - 1 year Fixed Contract/Secondment

mgpru; Stirling; Hybrid; GBP 50,000 - 65,000; Full time

Job summary

M&G's Risk and Compliance Department is recruiting a Compliance Consultant to join the Core Compliance team. The role covers Personal Account Dealing, Gifts & Hospitality, and Personal Conflict standards within a leading investment management group.

You will oversee case management, broker feeds, and system administration, while collaborating with global teams to uphold FCA/MiFID/SEC rules and deliver accurate MIS reporting.

Qualifications

• Experience in a Compliance or Investment Operations role within an Asset Management firm.
• Experience with workflow tools and automated Personal Account Dealing systems (e.g. StarCompliance, FIS/Comply/MyComplianceOffice).
• Knowledge of investment products across asset classes and investment processes.
• Familiarity with FCA COBS 11, MiFID inducement and SEC Code of Ethics rules.

Responsibilities

• Oversee case management and ensure timely investigation and closure of daily cases, escalate issues to Senior Management when needed.
• Maintain restricted dealing lists and broker feeds; perform broker reconciliations and follow up on discrepancies.
• Assist in routine StarCompliance system administration and maintain documents, certifications, and approval workflows.
• Field and resolve queries received in team inboxes and update team procedures and processes.
• Support management information reporting to stakeholders using MS Teams, PowerPoint, Excel and Power BI.
• Build positive, collaborative relationships with stakeholders and StarCompliance to ensure effective controls.
• Provide monitoring and team coverage as required by leadership.

Skills

Ownership

Commercial mindset

Self-starter

Time management

Analytical thinking

Communication

Attention to detail

Team player

Education

University degree

Tools

StarCompliance

Power BI

Excel

Teams

PowerPoint

Job description

At M&G, our purpose is to give everyone real confidence to put their money to work. With a heritage dating back more than 175 years, we have a long history of innovation in savings and investments, combining asset management and insurance expertise to offer a wide range of solutions.

Our two distinct operating segments, Asset Management and Life, work together to provide access to balanced, long-term investment and savings solutions.

Through telling it like it is, owning it now and moving it forward together with care and integrity; we are creating an exceptional place to work for exceptional talent.

We will consider flexible working arrangements for any of our roles and offer workplace adjustments to ensure you have the support you need to succeed in your role.

Purpose

M&G's Risk and Compliance Department is looking to recruit a Compliance Consultant to join the Core Compliance team. The Core Compliance team are responsible for administering and overseeing the operations of the Personal Account Dealing, Gifts and Hospitality and Personal Conflict standards in an efficient and effective manner.

The Fund Management industry is subject to a vast array of different rules and regulations, which are UK, European and Internationally driven. Compliance Departments play an increasingly important part in helping Fund Management Firms and their employees to successfully navigate these rules and regulations.

This is a fantastic opportunity for a motivated and enthusiastic individual, to join a dedicated team and build up a broad understanding of the rules and regulations underpinning the activities carried out within a leading Investment Management company.

Day to day activities

1. Overseeing the cases management process, ensuring:Daily cases generated by the StarCompliance system are investigated and closed out in a timely manner, and in line with proceduresBreaches identified are logged in the Compliance breach register and breach closure activities are completed, such as conducting line managers briefings, liaising with HR and other relevant parties, where relevantAny issues or trends are escalated to Senior Management
2. Managing restricted dealing list, broker and transaction feeds, which includes:Maintaining the firm's restricted dealing list in StarUndertaking daily broker reconciliation reviews, ensuring all discrepancies are closed out timely and any issues are followed up with the brokerAssisting with new broker feeds, liaising with Procurement, Legal, external third parties and StarCompliance, from initiation to implementation stageInvestigating and resolving issues related to the on-going maintenance of feed processes
3. Assisting in the routine management of the StarCompliance system, which includes:Day to day system administrationMaintaining lists, documents, certifications and approval workflow processesInvestigating and resolving issues related to the on-going maintenance of the processes
4. Fielding and resolving business queries received into the team inboxes.
5. Updating and maintaining team procedures and process documents.
6. Supporting the production and delivery of management information reporting to key stakeholders, local Compliance teams (USA, Luxembourg and Asia), committees and boards, utilising a range of Microsoft applications such as Teams, PowerPoint, Excel and Power BI.
7. Developing positive and collaborative relationships with stakeholders, the wider Compliance team and StarCompliance, to ensure the team's controls and processes are effective.
8. Providing monitoring, team cover and carrying out other similar duties, as need and capacity allows, as directed by the Deputy Head of Core Compliance.

Essential Knowledge & Experience

• Experience of a similar role within a Compliance or Investment Operation function of an Asset Management firm
• Experience of working with and building workflow tools
• Experience of managing and delivering routine operational processes
• Experience of working with an automated Personal Account Dealing system (e.g. FIS Employee Compliance Manager, Comply, MyComplianceOffice, StarCompliance) - desirable
• Good knowledge of investment products, covering different asset classes and investment processes
• Good knowledge of FCA personal account dealing (COBS 11), MiFID inducement and SEC Code of Ethics rules

Job & Personal Skills

• Takes ownership and accountability for delivery
• Commercially aligned, can do attitude and pragmatic approach to provide advice and resolve issues
• Self-starter, high levels of initiative and a strong work ethic
• Effective time management and organisation skills
• Analytical mind-set with the ability to process information quickly and present solutions
• Strong communication and interpersonal skills, including confidence in interactions with colleagues at all levels
• High level of accuracy and attention to detail
• Conscientious, team player, supportive with a collegiate approach

Desirable Qualifications

• University degree prefe