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M&G plc
M&G plc
5,001 – 10,000 Employees
FinanceFintechInsurance
M&G plc is an international finance and insurance business focused on savings, investments, asset management, life insurance, and wealth solutions. The company serves around 4.6 million individual clients and more than 900 institutional clients through 38 offices worldwide. Its Asset Management, Life, and Wealth businesses combine investment and insurance expertise to support long-term financial planning and investment needs.
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Compliance Consultant – 1-Year Fixed-Term Contract, Stirling Onsite

Compliance Consultant responsible for StarCompliance, personal dealing controls and regulatory processes at M&G plc. The role supports reporting, breach management and broker-feed operations.

GBUnited KingdomOn-siteFull-timeMiddleSeniorEnglish RequiredCompliance

Description

  • Manage StarCompliance case workflows, ensuring daily cases are investigated and closed according to established procedures.
  • Record compliance breaches in the breach register and complete the required closure actions.
  • Escalate compliance issues and emerging trends to Senior Management.
  • Manage restricted dealing lists, broker feeds and transaction feeds.
  • Maintain the firm’s restricted dealing list within StarCompliance.
  • Perform daily broker reconciliation reviews and address discrepancies with brokers.
  • Support new broker feeds from initial setup through implementation.
  • Investigate and resolve continuing feed-process maintenance issues.
  • Administer StarCompliance lists, documents, certifications and approval workflows.
  • Respond to and resolve business enquiries submitted to team inboxes.
  • Maintain and update team procedures and process documentation.
  • Assist in producing and delivering management information for stakeholders, Compliance teams, committees and boards.
  • Use Microsoft Teams, PowerPoint, Excel and Power BI to prepare reports.
  • Build effective working relationships with stakeholders, the wider Compliance team and StarCompliance.
  • Provide monitoring, team cover and other duties assigned by the Deputy Head of Core Compliance.

Requirements

  • Experience in a comparable Compliance or Investment Operations role within an asset management firm.
  • Experience developing and working with workflow tools.
  • Experience managing and delivering routine operational processes.
  • Experience with an automated Personal Account Dealing system is desirable.
  • Sound knowledge of investment products across different asset classes and investment processes.
  • Sound knowledge of FCA personal account dealing under COBS 11, MiFID inducement rules and SEC Code of Ethics requirements.
  • Takes responsibility and ownership for delivering work.
  • Provides pragmatic, commercially aligned advice and resolves issues effectively.
  • Self-motivated, proactive and committed to a strong work ethic.
  • Effective planning, organisation and time-management skills.
  • Analytical approach with the ability to process information quickly and present solutions.
  • Strong communication and interpersonal abilities.
  • Consistently accurate, with close attention to detail.
  • Conscientious team contributor who works collaboratively.
  • University degree preferred, or equivalent experience.
  • Relevant Compliance qualification desirable.
  • Relevant investment management qualification desirable.

Benefits

  • Pension scheme worth up to 18%, comprising 13% employer contributions and 5% employee contributions.
  • Access to Share Save and Share Incentive Plan schemes.
  • Financial wellbeing resources and support services.
  • 38 days of annual leave, including bank holidays.
  • Option to buy up to five additional days of leave.
  • Time Off When You Need It policy.
  • Comprehensive support and paid parental leave for maternity, adoption, surrogacy and paternity.
  • Private healthcare.
  • Critical illness cover.
  • Life assurance.
  • Additional family options for health and protection cover.
  • Employee-led networks offering networking, support and development opportunities.
  • Flexible working arrangements.
  • Workplace and reasonable adjustments available during recruitment.

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