Compliance Monitoring Consultant

M&G; London; On-site; GBP 45,000 - 65,000; Full time

Job summary

A leading company is seeking a Compliance Monitoring Consultant in London. The role involves delivering high-quality compliance monitoring activities and requires extensive regulatory compliance knowledge within the asset management industry. Ideal candidates are self-starters with strong communication skills and relevant qualifications.

Qualifications

• 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 and other international regulatory requirements.

Responsibilities

• Deliver high quality Compliance monitoring activities across the business.
• Lead reviews and consult with Compliance Advisory Teams.
• Draft and issue formal reports to the business.

Skills

Excellent written and oral communication skills

Strong planning and organising skills

Self-starter

Team player

Education

University degree (or equivalent)

Relevant Compliance qualification

Job description

We will consider flexible working arrangements for any of our roles and also offer workplace accommodations to ensure you have what you need to effectively deliver in your role.

Key Responsibilities:

• Responsible for delivering high-quality Compliance monitoring activities across the M&G business, including regular testing, thematic and ad-hoc reviews to ensure compliance with regulations and fair customer outcomes.
• Lead reviews as required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance.
• Consult with Compliance Advisory and Risk teams to plan and target reviews effectively.
• Plan reviews considering regulatory requirements, breaches, complaints, and operational risk data.
• Perform testing, record findings, and track actions using the monitoring workflow tool.
• Ensure issues are mitigated with appropriate actions tracked to completion.
• Draft and issue formal reports to the business.
• Collaborate with Compliance Advisory Teams on themes and findings to inform compliance advice.
• Assist in producing periodic reports for Boards and Committees as needed.
• Maintain compliance risk assessments periodically and as required.

You will have:

• Experience in delivering risk-based Compliance monitoring plans.
• Extensive regulatory compliance knowledge within asset management.
• Understanding of UK and international regulatory requirements.

Job & Personal Skills:

• Excellent communication skills, both written and oral.
• Strong planning and organizational skills with a proactive approach.
• Self-motivated with high initiative and a strong work ethic.
• Supportive team player with a collegiate attitude.

Desirable Qualifications:

• University degree or equivalent.
• Relevant compliance qualification (e.g., ICA, CISI).
• Experience level: Experienced Colleague.

We value diversity and inclusion at M&G plc, fostering an inclusive culture supported by policies and employee networks. We welcome applicants regardless of gender, ethnicity, age, sexual orientation, nationality, disability, military service, or career breaks.