Compliance Analyst - UK - 535

Schroders; Horsham; On-site; GBP 35,000 - 50,000; Full time

Job summary

A leading investment manager seeks a proactive Compliance Officer to support its Wealth Management Division in Horsham, UK. The role involves enhancing compliance processes, participating in surveillance activities, and producing management reports. Ideal candidates will exhibit strong analytical skills and effective communication, with relevant experience in a global compliance context.

Qualifications

• Experience in Compliance, preferably in Wealth Management or Private Banking.
• Experience with monitoring and surveillance activities.
• Experience working in a global team.

Responsibilities

• Assist the Compliance Manager in enhancing processes and quality management.
• Support daily compliance operations such as policy coordination and due diligence.
• Help compile and produce compliance management reports for senior management.

Skills

Analytical skills

Communication

Attention to detail

Problem-solving

Numeracy

Job description

Job Description

Who we're looking for
A proactive, personable, and adaptable individual to join a dynamic team supporting the Wealth Management Division with core Compliance activities.

About Schroders
We're a global investment manager helping institutions, intermediaries, and individuals worldwide to meet their financial goals and ambitions. With around 6,000 employees across six continents and over 200 years of history, we continuously adapt to societal and technological changes while remaining committed to client and societal prosperity.

The team
The WM Risk & Compliance team, based in London, manages global Risk and Compliance frameworks for the WM Division, overseeing their application and supporting local teams through compliance assurance, training, policies, and employee compliance.

The base
You will be based at our Schroders Business Campus near Horsham, West Sussex, our operations hub for Europe, the Middle East, and Africa, handling client servicing, product reporting, and operational oversight.

What You'll Do
Assist the Compliance Manager in enhancing efficient processes, quality management, and continuous improvement within the WM Division's core Compliance activities, including:

• Supporting daily and ad-hoc compliance operations such as policy coordination, due diligence responses, and team administration.
• Participating in monitoring and surveillance activities like account opening reviews, suitability and AML file reviews, and personal account dealing pre-clearance & reporting.
• Helping compile and produce compliance management reports for senior management.
• Performing other tasks as required.

The Knowledge, Experience, And Qualifications That Will Help

• Experience in Compliance, preferably in Wealth Management or Private Banking.
• Experience with monitoring and surveillance activities.
• Experience working in a global team.

What You'll Be Like

• Proactive, inquisitive, and skeptical with strong analytical skills and good judgment.
• Excellent communication skills, both oral and written.
• Ability to document processes clearly.
• Strong management reporting skills.
• Technologically adept and able to optimize tools and systems.
• Independent worker capable of prioritizing tasks effectively.
• Motivated, committed, with a positive attitude.
• Strong numeracy and analytical skills.
• Resilient under pressure with problem-solving initiative.
• Collaborative team player with a focus on continuous improvement.

We Recognise Potential, Whoever You Are
We value diversity and inclusion, believing they lead to better decision-making and success. We are an equal opportunities employer welcoming applications regardless of age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or other protected characteristics.

About Us
We are a global investment manager dedicated to helping clients meet their financial goals through active management, with a history spanning over 200 years and a commitment to societal prosperity.