Global Controls Monitoring Analyst

Recruiter
M&G plc.
Location
Edinburgh, United Kingdom
Salary
Competitive
Posted
26 Nov 2022
Closes
14 Dec 2022
Ref
17912288
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities . To help us achieve our vision we're looking for exceptional people who live our values of care and integrity and who can inspire others; embrace change; deliver results and keep it simple.

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

The Global Controls Monitoring team has responsibility of conducting monitoring of First Line controls to provide business challenge and assurance that these obligations are followed. The team's responsibilities also include the onboarding, maintaining and monitoring of portfolio investment compliance and market abuse monitoring. The team also plays a critical role in identifying, escalating and guiding the remediation of failures to meet these obligations
The team has a pivotal role in the design and capacity activities for the controls and monitoring of those controls. This role will be working in a changing environment and seeking to ensure the best outcomes to ensure compliance with our obligations. The role is required to provide day to day support in monitoring with a key focus of Environmental, Social and Governance obligations.

Key Responsibilities for this role:
  • To work collaboratively with colleagues and take personal accountability to maintain and enhance controls you are responsible for to support improvement of the overall control environment, customers outcomes and a reduction in M&G's operational risk.
  • Accountable for the oversight of the critical controls monitoring, testing and investment compliance programs.
  • Provide timely advice to business areas on questions regarding critical control framework, testing and investment compliance programs.
  • Provide timely support for the Critical Controls Monitoring Team.
  • Provide business support in the identification, design and implementation of critical controls.
  • Contribute to the front to back business risk mapping and alignment to critical controls framework.
  • Ensure that actions are in accordance with M&G's Business Principles and with the Regulator's principles on good conduct and market integrity.
  • Ensure that actions taken are in the best interests of customers and that they are treated fairly
  • Ensure that regulatory requirements are fulfilled, including timely completion of all regulatory training and declarations.
  • Ensure the escalation of all operational concerns to senior management.
  • Completion of routine daily, weekly and monthly monitoring activities.
  • Liaise with the Trustee / client relationship managers to respond to breach alerts and portfolio queries as received.
  • Creating and maintaining accurate team procedure manuals.
  • Reporting and production of MI reporting to key stakeholders.
  • Responsible for ensuring objectives are up to date.

Key Knowledge, Skills & Experience:
  • Good interpersonal skills, with the ability to record and communicate clearly and effectively, both written and orally.
  • Flexible, proactive and ability to work as part of a team.
  • A self-starter with ability to work under their own initiative.
  • High level of accuracy and attention to detail.
  • Strong work ethic and comfortable working under pressure to tight deadlines.
  • Ability to develop and maintain effective working relationships within the team and across the business.
  • A good understanding of the asset management industry.
  • Good understanding of the UK Regulatory framework and UCITS rules
  • Good instrument knowledge of all asset classes.

We have a diverse workforce and an inclusive culture at M&G plc, underpinned by our policies and our employee-led networks who provide networking opportunities, advice and support for the diverse communities our colleagues represent. Regardless of gender, ethnicity, age, sexual orientation, nationality or disability we are looking to attract, promote and retain exceptional people. We also welcome those who take part in military service and those returning from career breaks.
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