Compliance Analyst
Schroders
London, UK
Published 2 weeks ago
Compliance Management Systems / Technology
Location: London
Job title: Compliance Analyst
Who we're looking for
We are looking for a Compliance Analyst who will be reporting into the Head of Equities and Trading Compliance and will be part of the Asset Management Compliance team that covers Investment, Product, Client Group, Marketing and Regulatory initiatives. The individual will be a member in a team of 22.
About Schroders
We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.
We have around 6,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper.
The base
We moved into our new HQ in the City of London in 2018. We're close to our clients, in the heart of the UK's financial centre. And we have everything we need to work flexibly.
The team
The broader Compliance team comprises over 60 individuals in the UK, reporting through to the Chief Risk Officer. The Compliance team located in the UK covers Investment, Product, Client Group, Financial Crime Risk, Core Compliance and Wealth Management.
What you'll do
Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.
Job title: Compliance Analyst
Who we're looking for
We are looking for a Compliance Analyst who will be reporting into the Head of Equities and Trading Compliance and will be part of the Asset Management Compliance team that covers Investment, Product, Client Group, Marketing and Regulatory initiatives. The individual will be a member in a team of 22.
About Schroders
We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.
We have around 6,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper.
The base
We moved into our new HQ in the City of London in 2018. We're close to our clients, in the heart of the UK's financial centre. And we have everything we need to work flexibly.
The team
The broader Compliance team comprises over 60 individuals in the UK, reporting through to the Chief Risk Officer. The Compliance team located in the UK covers Investment, Product, Client Group, Financial Crime Risk, Core Compliance and Wealth Management.
What you'll do
- Undertaking on-going desk-based monitoring of trading and investment activities;
- Daily monitoring of substantial shareholding positions approaching disclosure thresholds and ensuring disclosures are filed in a timely manner;
- Liaise on compliance matters, with overseas offices as necessary;
- Advise and assist investment teams on compliance matters, acting as a trusted advisor and challenging partner;
- Support the compliance assurance team on scoping;
- Review and draft internal policies and procedures;
- Represent Compliance across different internal committees;
- Training investment teams as new requirements emerge or general BAU and
- Assist in implementing strategic and regulatory projects from a Compliance perspective.
- Experience in asset management and the application of evolving regulatory expectations to a dynamic business model;
- Well-organised, self-motivated, and thorough;
- Good verbal, written communication and influencing skills;
- Monitoring and surveillance experience;
- Some experience and/or knowledge in public and private asset classes (Private Equity, Real Estate, Infrastructure, Insurance Linked Securities etc.) and
- 2+ years in compliance.
- Team skills: A team player who displays a high degree of interpersonal skills, tact and diplomacy with all constituencies. Possesses strong collaboration skills with peers and colleagues;
- Intellectual flexibility and project management: Ability to quickly grasp and solve problems and to prioritize multiple competing projects and initiatives and focus resources in line with such priorities and
- Business Acumen: Has the desire and capability to get involved in the details of key business issues. Operates collaboratively across business teams and can meaningfully translate corporate strategy to the Compliance team.
Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.