UK Compliance Leader, Wealth Management

Schroders; Greater London; On-site; GBP 180,000 - 240,000; Full time

Job summary

Schroders is seeking a Head of UK Compliance for its Wealth Management division in London. You will report to the Chief Compliance Officer, Wealth Management, and lead the UK Compliance function to ensure risk-based, forward-looking regulatory adherence across the UK Companies.

You will oversee advisory support, regulatory reporting, disclosures and monitoring, while driving governance and talent development within the team.

Responsibilities

• Provide timely, pragmatic and independent advice on regulatory developments, day-to-day activities, projects, breaches and new products/services.
• Implement, oversee and enhance compliance frameworks for the UK Companies in line with Group standards.
• Support effective engagement with UK regulators ensuring timely escalation and accurate regulatory communications.
• Review financial promotions and marketing materials for clarity, fairness and regulatory compliance.
• Oversee surveillance, monitoring and thematic reviews, including issue identification and escalation.
• Maintain accurate compliance records including complaints, breaches and regulatory correspondence.
• Review and update internal policies ensuring they remain current and proportionate.
• Coordinate responses with Group Compliance, internal audits and external assurance functions.
• Support preparation and submission of regulatory reporting to FCA, PRA and other bodies.
• Provide targeted compliance training and awareness activities to promote regulatory understanding.
• Collaborate with Compliance teams across Wealth Management and Group Compliance for consistency.
• Lead, manage and develop the UK Compliance team with clear objectives and performance management.

Job description

Schroders is seeking a Head of UK Compliance for its Wealth Management division in London. You will report to the Chief Compliance Officer, Wealth Management, and lead the UK Compliance function to ensure risk-based, forward-looking regulatory adherence across the UK Companies.

You will oversee advisory support, regulatory reporting, disclosures and monitoring, while driving governance and talent development within the team.