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Compliance Manager

Schroders Investment Management
Closing date
5 Oct 2021

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Who we're looking for

A dynamic Compliance manager to support the Investment teams across Schroders asset management. The role will require the individual to interact with both senior compliance and business management. The activities include the provision of advice and support, surveillance and monitoring, training and assisting in strategic firm projects and implementation of new regulations.

About Schroders

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 5,000 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 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.

The team

You'll be part of the UK Asset Management Compliance team, which is functionally split into three teams: Distribution, Investment and Product & Fund Operations Compliance.

What you'll do

• Liaise on compliance matters, with overseas offices as necessary
• To advise and assist business management on compliance matters, acting as a trusted advisor and challenging partner
• To undertake risk based surveillance of investment management activity
• To support the delivery of relevant thematic reviews
• To support relevant business-led projects and development of internal policies and procedures
• To represent Compliance on various internal committees.
• To review draft internal policies and procedures

The knowledge, experience and qualifications you need

• Qualifications: University degree in Economics/Finance in addition to any specific investment/accounting qualifications/diplomas or equivalent
• Language fluency required in English and French and any other language a plus
• Asset management experience required and any sell side experience is a plus
• Experience in investment compliance and the application of evolving regulatory expectations to a dynamic business model
• Regulator management experience
• Well-organised, self motivated and thorough
• Ability to multi-task
• Ability to communicate and present to senior management
• Good verbal, written communication and influencing skills
• Technical (markets and regulatory) knowledge across different jurisdictions
• Monitoring and surveillance experience
• Experience or knowledge in all public and private asset classes (Private Equity, Real Estate etc.).

What you'll be like

• 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, Legal and Governance group. Respects and values people for what they do, not for their position and will seek, give and value feedback. Someone who drives the agenda by building credibility and enabling a change mind-set rather than issuing instructions. The individual needs to operate effectively as an experienced player and coach whilst always enabling diversity and inclusion.
• Intellectual flexibility and project management: Ability to quickly grasp and solve complex problems and to prioritize 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 and possesses a high degree of credibility and industry knowledge. Operates collaboratively across business teams and can meaningfully translate corporate strategy to the Compliance team.

We're looking for the best, whoever they are

Schroders is an equal opportunities employer. You're welcome here whatever your background, race, sex, gender, sexual orientation, religious belief, age or disability.
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