Wealth Management Compliance Lead – Flexible Working

Schroders; Greater London; Hybrid; GBP 70,000 - 110,000; Full time

Job summary

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.

Responsibilities

• 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.

Skills

Wealth Management compliance

UK regulatory framework knowledge

Teamwork

Regulatory interpretation

Organisation

Stakeholder communication

Monitoring and surveillance

Wealth management products knowledge

SEC regulations knowledge

Job description

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.