Compliance Specialist
Schroders
London, UK
Published 4 weeks ago
Compliance Management Systems / Technology
Who we're looking for
An enthusiastic, motivated individual who is happy to be part of the Client Group Compliance team, providing Compliance advice and guidance to Marketing and Sales teams in the UK, and liaising with local Compliance and legal teams to provide global leadership on relevant subject matters and group projects.
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
This role would preferably be based in the Horsham Campus, but can also be done in London with regular travel to Horsham.
The team
You'll be part of the large Risk & Compliance team in the UK, and sit within the Client Group, Investment, Product & Fund Operations Compliance functional team.
As Client Group Compliance, we focus on Sales and Marketing, but also interact with Product and Operations teams generating content and client communications. We work closely with the Central Compliance team, e.g. on policy, training, monitoring and regulatory change, the Financial Crime team and our Legal, Compliance and Governance colleagues globally.
Although based in the UK, we work closely with our EMEA colleagues and have a functional leadership role for Client Group and Marketing Compliance with all global Compliance teams.
What you'll do
Reporting to one of the Senior Compliance managers in the team, you'll be a Compliance Specialist in the Client Group Compliance team in the UK.
The main responsibilities of the role are:
The knowledge, experience and qualifications you need
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.
An enthusiastic, motivated individual who is happy to be part of the Client Group Compliance team, providing Compliance advice and guidance to Marketing and Sales teams in the UK, and liaising with local Compliance and legal teams to provide global leadership on relevant subject matters and group projects.
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
This role would preferably be based in the Horsham Campus, but can also be done in London with regular travel to Horsham.
The team
You'll be part of the large Risk & Compliance team in the UK, and sit within the Client Group, Investment, Product & Fund Operations Compliance functional team.
As Client Group Compliance, we focus on Sales and Marketing, but also interact with Product and Operations teams generating content and client communications. We work closely with the Central Compliance team, e.g. on policy, training, monitoring and regulatory change, the Financial Crime team and our Legal, Compliance and Governance colleagues globally.
Although based in the UK, we work closely with our EMEA colleagues and have a functional leadership role for Client Group and Marketing Compliance with all global Compliance teams.
What you'll do
Reporting to one of the Senior Compliance managers in the team, you'll be a Compliance Specialist in the Client Group Compliance team in the UK.
The main responsibilities of the role are:
- Review and approve marketing material / financial promotions in cooperation with EMEA and global Compliance teams;
- Review the team's mailbox and liaise with team members to resolve and deal with any queries received in a timely manner;
- Provide Compliance advice and guidance on regulatory rules and expectations to Fund Operations & Reporting, Marketing, Sales and Product teams;
- Review and provide guidance on business policies and procedures to ensure that relevant regulatory requirements are met;
- Perform regular Compliance monitoring and surveillance in relation to Fund Operations & Reporting, Sales and Marketing activities;
- Provide Compliance training in relation to financial promotions and other client communications as required;
- Support the team's process around identification, escalation, resolution and reporting of complaints, breaches and other errors relevant to the supported business areas;
- Maintain the team's procedures, database and Intranet guidance and
- Support regulatory change analysis and implementation.
The knowledge, experience and qualifications you need
- Relevant Compliance / Asset Management experience working within the UK regulatory or EEA environment;
- Ability to demonstrate and evidence strong commitment to Compliance and essential underlying values;
- Strong technical skills and knowledge of both retail and institutional distribution activities and asset management products;
- Confident in dealing with people at all levels, and comfortable with giving presentations and training and
- Proficient in use of Excel, Word, Outlook and the internet.
- Experience working for an asset management firm;
- Project management or monitoring experience;
- Confident in dealing with people at all levels;
- Comfortable with giving presentations and training;
- Proficient in use of Excel, Word, PowerPoint, Outlook and the intranet;
- Relevant professional training (e.g. Accounting/Audit, Legal, Compliance) and
- Major European or Asian languages.
- Reliable and well organised;
- Good written and oral communication skills;
- Attention to detail;
- Able to work to tight deadlines and remain calm under pressure and
- Able to build trust and foster relationships with relevant teams / areas.
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.