Compliance Manager

Schroders; Greater London; Hybride; GBP 70 000 - 110 000; Plein temps

Résumé du poste

Schroders in the UK seeks a Compliance Manager to oversee regulatory support for Wealth Management. You will advise front office, operations and others on regulatory and conduct requirements, ensuring client categorisation, appropriateness, conflicts of interest and inducements are properly managed.

You will review suitability assessments, monitor investments, and contribute to the Compliance Monitoring Programme while collaborating with senior management across the Wealth Management business.

Qualifications

• Experience in Wealth Management compliance and evolving regulatory expectations.
• Strong knowledge of the UK regulatory framework.
• Ability to translate regulatory requirements into practical business advice.
• Well-organised, self-motivated and thorough.
• Ability to liaise with and present to senior management.
• Good verbal, written communication and influencing skills.
• Monitoring and surveillance experience.
• Knowledge of Wealth Management products and services.

Responsabilités

• Provide day-to-day regulatory advice to front office, investment management, operations and support functions.
• Advise on regulatory and conduct requirements for wealth management activities, including client categorisation, appropriateness, conflicts of interest and inducements, and gifts & entertainment.
• Provide regulatory input into complaints and potential conduct issues and investigations.
• Provide compliance input into projects, business initiatives and changes to existing propositions.
• Conduct suitability file reviews and review the quality of suitability assessments.
• Review holdings in complex, illiquid or higher-risk investments.
• Review and approve more complex financial promotions.
• Own or deliver a significant proportion of the Compliance Monitoring Programme.
• Other similar compliance support work as required from time to time to support the work of the Wealth Management Compliance team.

Connaissances

Wealth Management compliance

UK regulatory framework knowledge

Teamwork

Regulatory interpretation

Organisation

Stakeholder communication

Monitoring and surveillance

Wealth management products knowledge

SEC regulations knowledge

Description du poste

Who we're looking for

The Compliance Manager reports directly to the Head of Wealth Management, UK who has delegated to him/her responsibility for the matters set out in this job description.

About Us

Schroders is a global investment manager which provides active asset management, wealth management and investment solutions. We aim to provide excellent investment performance to clients through active management. We serve a diverse client base that includes pension schemes, insurance companies, sovereign wealth funds, endowments, foundations, high net worth individuals, family offices, as well as end clients through partnerships with distributors, financial advisers, and online platforms.

Established in 1804, we have around 5,500 people across 36 global locations. Schroders' success can be attributed to its diversified business model, spanning different asset classes, client types and geographies.

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.

What you'll do

• Provide day-to-day regulatory advice to front office, investment management, operations and support functions.
• Advise on regulatory and conduct requirements as they apply to wealth management activities, including client categorisation, appropriateness, conflicts of interest and inducements, and gifts & entertainment etc.
• Provide regulatory input into complaints and potential conduct issues and investigations.
• Provide compliance input into projects, business initiatives and changes to existing propositions.
• Conduct suitability file reviews and review the quality of suitability assessments.
• Review holdings in complex, illiquid or higher-risk investments.
• Review and approve more complex financial promotions.
• Own or deliver a significant proportion of the Compliance Monitoring Programme.
• Other similar compliance support work as required from time to time to support the work of the Wealth Management Compliance team.

The knowledge, experience and qualifications you need

• Experience in Wealth Management compliance and the application of evolving regulatory expectations
• Good knowledge and understanding of the applicable UK regulatory framework
• Strong ability to work in a team both within Compliance and also the wider Wealth Management business
• Strong ability to interpret regulatory requirements and expectations and translate them into practical advice for the business
• Well-organised, self motivated and thorough
• Ability to liaise with and present to all levels including senior management
• Good verbal, written communication and influencing skills
• Monitoring and surveillance experience.
• Experience of or knowledge in Wealth Management products and services
• A knowledge of SEC regulations a bonus.

The knowledge, experience and qualifications that'll help

• 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, Risk, Legal and Governance group.
• Intellectual flexibility and project management: Ability to quickly grasp and solve problems and to prioritise 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 Recognise Potential, Whoever You Are

Our purpose is to deliver excellent investment performance to clients through active management. We believe diverse perspectives and an inclusive culture help us make better decisions and achieve better outcomes for our clients. That's why inclusion is a strategic priority for us, and 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.

We will consider flexible working arrangements for all roles and provide reasonable accommodations to support applicants and employees, including those with neurodiversity, disability, or physical and mental health needs. For more information, please visit our FAQs.