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Compliance Manager

Schroders Investment Management
London, United Kingdom
Posted 2 days ago Permanent Competitive
Compliance Manager
Who we're looking for

We are looking for a Compliance Manager who will be reporting into the Head of Global Investments and Product Compliance

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 5,000 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 Compliance team comprises over 45 individuals in the UK, reporting through to the Chief Risk Officer. The Compliance team located in the UK covers Investment, Distribution, Financial Crime Risk, Core Compliance and Wealth Management.

What you'll do

Undertaking on-going desk based monitoring of trading and investment activities

• 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 (including conflicts of interest, and conduct issues)
• Contribute to risk based surveillance of investment management activities
• Support the delivery of relevant thematic reviews
• Review and draft internal policies and procedures
• Represent Compliance across different internal committees.
• Training investment teams as new requirements emerge or general BAU
• Assist in implementing strategic and regulatory projects from Compliance prospective

The knowledge, experience and qualifications you need

• Experience in investment compliance and the application of evolving regulatory expectations to a dynamic business model
• Team / Staff management experience
• Regulator management experience
• Well-organised, self motivated and thorough
• Ability to liaise with and present to senior management
• Good verbal, written communication and influencing skills
• Broad technical (markets and regulatory) knowledge.
• Monitoring and surveillance experience/interest.
• Experience or knowledge in all public and private asset classes (Private Equity, Real Estate, Infrastructure, Insurance Linked Securities etc.).

The knowledge, experience and qualifications that will help

• Well-organised, self motivated and thorough.
• Ability to communicate and present
• Good verbal and written communication skills

What you'll be like

• 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 within and outside the Compliance, Legal and Governance group.
• 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.
• Astute at proactively identifying and shaping new industry, product or technical knowledge which will be advantageous to the business and awareness of current and evolving customer needs. Possesses a strong sense of urgency and an exceptional work ethic and is accustomed to a high degree of rigour, accuracy, detail and complexity.
• 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.

We're looking for the best, whoever they are

Schroders is an equal opportunities employer. You're welcome here whatever your socio-economic background, race, sex, gender identity, sexual orientation, religious belief, age or disability.

Job ID  4562
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