|Job Type:||Full Time|
Who we're looking for
We are looking for a Compliance Manager to join the Distribution & Product Compliance team in London.
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 4,000 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 Global Head of Compliance and the Regional Head of UK Compliance are both based in the UK. Responsibility for UK Compliance is split between the Investment and Distribution & Product Compliance teams, with support by through the global Central Compliance team for Infrastructure, Training and Regulatory Change matters, and the global Financial Crime team. The Heads of Investment and Distribution & Product Compliance each have direct responsibilities in the UK with oversight and co-ordination roles globally in relation to their compliance areas. The Head of Distribution & Product Compliance is supported in the UK by a Senior Compliance Manager, four Compliance Managers and one Compliance Analyst.
It is the role and responsibility of the Compliance Department, among other things, to:
- advise Schroders' businesses on regulatory requirements, best practice and the implementation thereof,
- communicate and support the implementation of regulatory changes and developments,
- complete compliance monitoring in line with the annual compliance monitoring programme.
The Distribution & Product Compliance team provides regulatory advice and support to Distribution, Product, Marketing and UK Fund Operations teams.
What you'll do
- Provide Compliance advice and guidance in relation to the business areas supported by the Distribution & Product Compliance team, with a focus on CASS, Fund Operations and Monitoring.
- Lead the Distribution & Product Compliance Monitoring & Surveillance activities:
- Develop and maintain a risk-based ongoing Compliance surveillance plan for the supported business areas, including (2nd line) CASS monitoring.
- Support the Central Compliance Monitoring team in their execution of the annual thematic compliance monitoring programme
- Ensure that complaints, breaches, pricing errors and other errors relevant to the supported business areas are appropriately identified, escalated and resolved.
- Review business policies and procedures to ensure that relevant regulatory requirements are met.
- Identify regulatory training requirements within the business areas supported. Devise and deliver training to meet identified training requirements
- Identify, review and track regulatory change impacting supported business areas and communicate as appropriate. Analysing the impact of relevant regulatory consultation papers and policy statements for their potential effect on the business.
- Assist with the performance of other compliance related activities and projects, as required.
- Review and approve retail advertising, marketing and e-marketing material for use in the UK, as required.
The knowledge, experience and qualifications you need
- Relevant Compliance / Asset Management experience working within the UK regulatory environment
- Ability to demonstrate and evidence strong commitment to Compliance and essential underlying values
- Be reliable and well organised
- Good written and oral communication skills
- Confidence in dealing with people at all levels, and comfortable with giving presentations and training
- Strong technical skills and knowledge of both retail and institutional distribution activities
- Attention to detail
- Be able to work to tight deadlines and remain calm under pressure
- Be able to build trust and foster relationships with relevant teams / areas
- 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