QA Specialist

to give everyone real confidence to put their money to work.

telling it like it is, owning it now, and moving it forward together

care and integrity;

Accountabilities/Responsibilities

• Conduct sample-based testing of KYC and due diligence cases managed both in-house and by TPAs/TAs across the AM business.
• Communicate testing outcomes with the relevant 1LoD functions and support the development of mitigation plans.
• Support define and help in to execute 1LoD financial crime testing plans.
• Document testing results and prepare reports, highlighting any deficiencies or areas for improvement.
• Document mitigating actions to be implemented where financial crime deficiencies or gaps are found.
• Ensure the implementation of mitigating actions within in-scope processes.
• Upskill on testing activities and knowledge of financial crime operational processes.
• Provide training to teams conducting in scope FC activities where knowledge gaps are identified.
  

Key Stakeholder Management

Internal

External

Knowledge, Skills, Experience & Educational Qualification

Knowledge & Skills:

• Demonstratable QC/QA experience delivering high quality work
• Proven experience of PEPs, Sanctions and adverse media screening
• Decent knowledge and experience of best practices in building and maintaining KYC processes
• KYC process experience for different asset management related entity types, such as Trusts, Funds, regulated entities, SPV etc.
• KYC/ AML experience of analyzing complex ownership structures to determine risk exposure in accordance to applicable AML/KYC requirements.
• Proven ability to quickly understand and multitask across several IT applications, including Microsoft Word and Excel, as a minimum;
• Written skills and can communicate with individuals across all levels;
  

Experience:

• Experience within assurance planning and execution, including sample-based testing.
• Experience within financial crime.
• Ability to demonstrate an understanding of financial crime risk management controls and process application.
• Strong written and verbal communication skills and ability to convey complex information to stakeholders at all levels.
  

Educational Qualification:

• Minimum overall 6-8 years of experience in Risk function within Financial Services, with 4 years of experience in Financial Crime Compliance field in QA QC function
• Graduate degree in Science /Commerce/Management Sciences/Business Administration/Law (B.Sc./B.Com/BMS/BBA/LLB )
• Certifications such as Certified Anti-Money Laundering Specialist (CAMS) examinations desirable
• Knowledge of EU & UK Regulations or experience of money laundering regulations and their practical application within a financial service organisation.
• Excellent analytical skills with the ability to review and interpret rules and regulations
• A good understanding of the regulated marketplace and the position of M&G within that market.
• A credible communicator both written and verbally.
• An understanding of the business drivers for appropriate business areas.
• Operates within the context of own function but has an awareness of the overall UK operation and its objectives.
• Independent, self-motivated, proactive, analytical and willing to work under pressure.