• Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • M&G Prudential
  • 2019-04-19

Investment Office Control Monitoring Senior Analyst

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

Investment Office Control Monitoring Senior Analyst

Working with M&G Prudential as a Investment Office Control Monitoring Senior Analyst means becoming part of a brand with a global reputation and an exciting vision: to become the most loved and most successful saving & 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.


The Investment Office Control Monitoring Team, as part of the first line of defence within the Front Office, conducts a number of critical Front Office controls, covering most key areas of the business (including dealing and managing, conflicts, conduct etc.). This team is expected to stretch its coverage into all aspects of Investment Office - dealing and managing assets - to cover critical control monitoring and to cover incident management.

The Team 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 front office) and externally (to Risk, Audit, Compliance, Clients or Regulator etc.)

Key Responsibilities

The Investment Office Control Monitoring Team, as part of the first line of defence within the Front Office, conduct a number of key Front Office controls, the most significant of which include:

Critical control monitoring
Including dealing and managing, conflicts, conduct etc.
Support the 1st line control design, implementation and assessment, including sample testing of dealing exceptions to provide an independent view.

Incident Management
Provision of incident management, training and reporting to clients

Conflicts of Interest
Monitoring Fixed Income conflicts of interest risk assessments
Maintenance of the Fixed Income conflicts of interest registers

Conduct (Treating Customers Fairly)
Monitoring front office conduct / TCF issue reviews
Front 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).

Job & Personal Skills

This role is ideally suited to someone who can demonstrate:

Experience of a front office environment, with emphasis on a good working knowledge of procedures, controls for dealing and managing funds.

The person should have experience in how incidents have been managed and reported (e.g. to clients).

Experience in demonstrating an evidence-based approach (or audit-style approach) to monitoring all key front office activities with clearly monthly reporting.

Ideally, the successful candidate will have front office experience of market abuse and side-by-side monitoring in an asset manager.

Attention to detail and evidence gathering from various systems will be required (e.g. Bloomberg, Aladdin, voice recording etc.)

This person should be able to flag unusual exceptions and agree mitigating actions with all relevant stakeholders.

Knowledge & Experience

Extensive Financial Sector experience, with at least 3-years of fund management and dealing-related experience.

Operational Risk/Audit-related experience is preferable.

Report writing (e.g. in accounting for incidents) would be preferable.

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.