The vacancy is for an experienced Compliance Assurance Specialist to participate in assurance reviews focussed on Asset and Wealth Management entities in the UK and overseas. The job includes all parts of the assurance process, including planning, fieldwork and testing, agreeing findings with business and various stakeholders, report writing and follow up. The jobholder will be expected to work flexibly and cover all aspects of regulation necessary to execute the reviews on the Compliance Assurance Plan.
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.
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 Compliance Assurance team sit within Central Compliance and has global responsibility for design and execution of thematic testing reviews. The team also oversees the operation of the wider Assurance framework that includes monitoring and surveillance activities. The team is based in the UK but has dedicated support form the regional Compliance teams.
What you'll do
• Conducting reviews - Undertake risk-based compliance assurance reviews of regulated activities efficiently and to a high professional standard. Drive forward compliance assurance reviews and tasks to completion, in accordance with the Group's Global Compliance Assurance Framework. Apply vigilance, inquisitiveness, good judgment and common sense in all assurance activities. Promote awareness across the firm of high standards of regulatory risk management. Be willing to challenge management and existing processes in light of higher regulatory standards and expectations. This includes planning, sample testing and fieldwork, managing stakeholders' expectations, identifying relevant issues and agreeing remedial actions with business owners, and maintaining thorough records.
• Reporting - Draft reports from assurance reviews, including detailed findings and remedial actions in a timely manner, for review by Compliance senior management. Collate Management Information (MI) for all compliance assurance activities for reporting to senior management, Boards and committees. • Tracking - keep management informed and the Compliance Assurance Plan updated with progress. Ensure assurance findings are recorded in appropriate systems, oversee the resolution and follow-up with business management on any overdue items. • Risk assessments - periodically review and update compliance risk assessments, which form the basis of the compliance assurance programme. Liaise with Heads of Compliance in other jurisdictions' to ensure timely and thorough completion and updating of risk assessments for their jurisdictions. • Collaboration - liaise with colleagues in Compliance, Risk, Legal and Internal Audit regarding assurance plans, reviews, findings, themes and controls issues. Demonstrate a positive, collaborative and constructive approach with all business colleagues. • Administration - ensure that well-organised files are maintained of review work undertaken to evidence completion of assurance plan and findings. Assist preparation of compliance papers for various committees and boards in relation to assurance; oversee maintenance of related data and records. • Other ad-hoc tasks as may be required from time to time.
The knowledge, experience and qualifications you need
• Significant Compliance Assurance experience including undertaking thematic reviews and monitoring for complex organisations • Financial services experience • Proficient in the use of Excel, PowerPoint, Word, Outlook
The knowledge, experience and qualifications that will help
• Knowledge of asset and wealth management • Relevant industry qualifications • Auditing experience
What you'll be like
• Able to work to tight deadlines, remain calm under pressure, and multitask • Excellent written and oral communication skills, with ability and confidence to interact with and influence senior management • Thorough and with good attention to detail • Ability to assimilate and interpret information quickly • Assertive, inquisitive, willing to challenge • Ability to work effectively and collaboratively within a team environment • Reliable, proactive and well organised
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.