• Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • M&G Prudential
  • 2019-04-21

FTC - 6 Months - Compliance Monitoring Consultant

  • Full time
  • London, England, United Kingdom
  • 21 Apr 19

FTC - 6 Months - Compliance Monitoring Consultant

FTC - 6 Months - Compliance Monitoring Consultant

Working with M&G Prudential as a Finance Specialist means becoming part of a brand with a global reputation and an exciting vision: to become the best loved and most successful savings & investments business.

The forthcoming planned de-merger of M&G Prudential from the Prudential Group PLC provides a terrific opportunity to create a truly international and integrated savings and investments firm. A firm built on a rich and long history and with a commitment to an innovative future centred on the needs of customers and clients. There is a genuine opportunity to drive competitive advantage with value creation through the formation of this new organisation.

If you're inspired to join us, and have the necessary qualities, then this could be the opportunity you've been looking for.


To support the Compliance Monitoring Manager and Head of Compliance Monitoring & Assurance in delivering high quality Compliance monitoring activities across M&G in an efficient and targeted manner

Desirable Qualifications:
  • 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

Job/Personal Skills:
  • 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
  • Team player, supportive with a collegiate approach

Essential Experience:
  • 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

Compliance Department Values
  • To provide quality outcomes in everything that we do;
  • To be pro-active in our approach and consistent in our delivery;
  • To be open, honest and act with integrity at all times in order to be a respected and trusted partner to the business;
  • To act with conviction; being challenging and independent in our actions;
  • To support each other in delivering Compliance services and in relation to the decisions we reach; and
  • To encourage innovation and creativity in our approach.

Role Specifics
  • 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
  • Lead reviews as/when required by the Compliance Monitoring Manager/Head of Compliance Monitoring & 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 assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance with the production of periodic reports to Boards and Committees
  • Ad-hoc and on a periodic basis assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance in maintaining compliance monitoring risk assessments

Internal & external relationships

Develop positive and professional working relationships within the Risk and Compliance Departments, Group-wide Internal Audit, with senior managers throughout M&G and at its third party service providers

People who work at M&G Prudential agree that ours is a great place to work with a brilliant team spirit. It's also an innovative, high-performing, commercial environment that's totally focused on customers. As an M&G Prudential colleague you'll get all the support you'd expect, including full training and professional development. You'll receive a competitive salary and reward package. And in a fast-changing world, you'll join an organisation that's leading the way in helping customers achieve their long-term financial goals.

M&G Prudential 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.

Recruiter: Tom Hunt
Location: London, Governors House
Closing Date: 20/02/19