M&G plc
Compliance Consultant - 1 year Fixed Contract/Secondment
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Compliance Consultant
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:
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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 procedures.
- Breaches 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 relevant.
- Any issues or trends are escalated to Senior Management.
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Managing restricted dealing list, broker and transaction feeds, which includes:
- Maintaining the firm’s restricted dealing list in Star.
- Undertaking daily broker reconciliation reviews, ensuring all discrepancies are closed out timely and any issues are followed up with the broker.
- Assisting with new broker feeds, liaising with Procurement, Legal, external third parties and StarCompliance, from initiation to implementation stage.
- Investigating and resolving issues related to the on-going maintenance of feed processes.
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Assisting in the routine management of the StarCompliance system, which includes:
- Day to day system administration.
- Maintaining lists, documents, certifications and approval workflow processes.
- Investigating and resolving issues related to the on-going maintenance of the processes.
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Fielding and resolving business queries received into the team inboxes.
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Updating and maintaining team procedures and process documents.
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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.
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Developing positive and collaborative relationships with stakeholders, the wider Compliance team and StarCompliance, to ensure the team’s controls and processes are effective.
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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 preferable (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).
Experience Level:
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What we offer:
We’re dedicated to supporting your wellbeing and helping you thrive, both at work and beyond. Our benefits are designed to help you balance your professional and personal life, and financially plan for the future. Our UK benefits include:
- A valuable pension scheme of up to 18% (13% made up of employer contributions and 5% employee contributions).
- Access to our Share Save and Share Incentive Plan, alongside financial wellbeing and support services to help give you real confidence to put your money to work.
- Enjoy 38 days annual leave (including bank holidays), with the opportunity to purchase up to five extra days. Our Time Off When You Need It policy gives you the flexibility - to balance work and personal commitments.
- Our market-leading Inspiring Families policy includes comprehensive support and paid parental leave covering maternity, adoption, surrogacy, and paternity leave - because supporting families is an important part of our inclusive culture.
- Health & Protection cover includes Private Healthcare, Critical Illness cover and Life Assurance for you, with additional family options - for peace of mind.
To explore more about life at M&G and our full benefits offering, visit Life at M&G
At M&G we strive to have a diverse workforce and an inclusive culture, underpinned by our policies and employee-led networks that offer networking, support and development opportunities for the diverse communities our colleagues represent. We welcome applications from people of all backgrounds – across gender, ethnicity, age, disability, sexual orientation and more – including neurodivergent individuals, career returners and those with military service experience.
M&G is proud to be Level 3: Disability Confident Leader under the UK Government Disability Confident employer scheme, and we welcome applications from candidates with disabilities and long-term health conditions. If you would like to participate in the initiative, you will have the opportunity to indicate this on your application.
We are committed to providing an inclusive recruitment process. All candidates have the opportunity to request reasonable adjustments when applying. If you need any additional support at any stage, please contact us at: careers@mandg.com
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