Who we're looking for
An enthusiastic, motivated individual who is happy to work as part of the UK Client Group Compliance team with a range of stakeholders across Marketing, Product and global Compliance teams, confident in providing robust and practical advice on regulatory requirements and approving financial promotions for EMEA and global use.
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
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 the Global Head of Client Group Compliance, you'll be a Senior Compliance Manager in the Client Group Compliance team in the UK, with particular focus on Marketing and Financial Promotions Compliance, leading the EMEA Marketing Compliance team made up of UK and Luxembourg based colleagues, and providing strategic leadership and guidance on Marketing Compliance matters to global Compliance colleagues.
The primary responsibilities of the role are:
• Provide Compliance advice and guidance to supported the business areas on regulatory rules and expectations in relation to financial promotions, client communications, fund offering documents, social media content and approval processes;
• Manage the review and approval of financial promotions and co-ordinate on approach, guidance and processes within EMEA and with global Compliance teams;
• Identify regulatory training requirements within Marketing and Communications (and Product teams). Devise and deliver training to meet identified training requirements
• In conjunction with the regulatory change team, identify, analyse and track regulatory change affecting Marketing and Communications (and Product teams), and communicate to impacted business areas as appropriate.
• Participate in the scoping and performing of Compliance Monitoring reviews in relation to defined areas of activity, as agreed in the annual compliance monitoring programme.
• Ensure that complaints, breaches and other errors relevant to Marketing and Communications (and Product teams) are appropriately identified, escalated and resolved.
• Review and provide guidance on Marketing and Communications (and Product teams') policies and procedures to ensure that relevant regulatory requirements are met.
• Assist with the performance of other compliance related activities and projects as required.
The knowledge, experience and qualifications you need
• Relevant Compliance / Asset Management experience working within the UK regulatory or EEA environment
• Leadership and people management skills
• 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
• Proficient in use of Excel, Word, Outlook and the internet
The knowledge, experience and qualifications that will help
• Relevant professional training (e.g. Accounting/Audit, Legal, Compliance)
• Major European or Asian languages
What you'll be like
• Reliable and well organised
• Good written and oral communication skills
• Attention to detail
• Able to work to tight deadlines and remain calm under pressure
• Able to build trust and foster relationships with relevant teams / areas
We recognise potential, whoever you are
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 work as part of the UK Client Group Compliance team with a range of stakeholders across Marketing, Product and global Compliance teams, confident in providing robust and practical advice on regulatory requirements and approving financial promotions for EMEA and global use.
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
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 the Global Head of Client Group Compliance, you'll be a Senior Compliance Manager in the Client Group Compliance team in the UK, with particular focus on Marketing and Financial Promotions Compliance, leading the EMEA Marketing Compliance team made up of UK and Luxembourg based colleagues, and providing strategic leadership and guidance on Marketing Compliance matters to global Compliance colleagues.
The primary responsibilities of the role are:
• Provide Compliance advice and guidance to supported the business areas on regulatory rules and expectations in relation to financial promotions, client communications, fund offering documents, social media content and approval processes;
• Manage the review and approval of financial promotions and co-ordinate on approach, guidance and processes within EMEA and with global Compliance teams;
• Identify regulatory training requirements within Marketing and Communications (and Product teams). Devise and deliver training to meet identified training requirements
• In conjunction with the regulatory change team, identify, analyse and track regulatory change affecting Marketing and Communications (and Product teams), and communicate to impacted business areas as appropriate.
• Participate in the scoping and performing of Compliance Monitoring reviews in relation to defined areas of activity, as agreed in the annual compliance monitoring programme.
• Ensure that complaints, breaches and other errors relevant to Marketing and Communications (and Product teams) are appropriately identified, escalated and resolved.
• Review and provide guidance on Marketing and Communications (and Product teams') policies and procedures to ensure that relevant regulatory requirements are met.
• Assist with the performance of other compliance related activities and projects as required.
The knowledge, experience and qualifications you need
• Relevant Compliance / Asset Management experience working within the UK regulatory or EEA environment
• Leadership and people management skills
• 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
• Proficient in use of Excel, Word, Outlook and the internet
The knowledge, experience and qualifications that will help
• Relevant professional training (e.g. Accounting/Audit, Legal, Compliance)
• Major European or Asian languages
What you'll be like
• Reliable and well organised
• Good written and oral communication skills
• Attention to detail
• Able to work to tight deadlines and remain calm under pressure
• Able to build trust and foster relationships with relevant teams / areas
We recognise potential, whoever you are
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.