Compliance Specialist

3 months ago

London, United Kingdom Schroders Full time

**Location: London, UK**
**Job title: Compliance Specialist**

**Who we’re looking for**
We are looking for a Compliance Specialist who will be reporting into the Head of Equities and Trading Compliance and will be part of the Asset Management Compliance team that covers Investment, Product, Client Group, Marketing and Regulatory initiatives. The individual will be a member in a team of 22.

**About Schroders**
We’re a global asset 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**
The broader Compliance team comprises over 60 individuals in the UK, reporting through to the Chief Risk Officer. The Compliance team located in the UK covers Investment, Product, Client Group, Financial Crime Risk, Core Compliance and Wealth Management.

**What you’ll do**
- Undertaking on-going desk-based monitoring of trading and investment activities;
- Daily monitoring of substantial shareholding positions approaching disclosure thresholds and ensuring disclosures are filed in a timely manner;
- Completion and submission of long and short disclosure notifications to UK;
- Liaise on compliance matters, with overseas offices as necessary;
- Advise and assist investment teams on compliance matters, acting as a trusted advisor and challenging partner (including UCITS eligibility checks, trading queries and regulatory projects);
- Contribute to risk-based surveillance of investment management activities;
- Support the delivery of relevant thematic reviews;
- Review and draft internal policies and procedures;
- Represent Compliance across different internal committees and client meetings;
- Training investment teams as new requirements emerge or general BAU and
- Assist in implementing strategic and regulatory projects from a Compliance perspective.

**The knowledge, experience, and qualifications you need**
- Well-organised, self-motivated, and thorough;
- Ability to liaise with and present to senior management;
- Good verbal, written communication and influencing skills;
- Broad technical (markets and regulatory) knowledge;
- Monitoring and surveillance experience/interest;
- Experience and/or knowledge in all public and private asset classes (Private Equity, Real Estate, Infrastructure, Insurance Linked Securities etc.);
- Plus if you have worked in Private Assets more broadly and
- 2+ years in compliance.

**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;
- Intellectual flexibility and project management: Ability to quickly grasp and solve 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 and
- 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're looking for the best, whoever they are**
Schroders is an equal opportunities employer. You're welcome here whatever your socio-economic background, race, sex, gender identity, sexual orientation, religious belief, age or disability.

  • Compliance Specialist

    10 hours ago

    London, Greater London, United Kingdom British Compliance Institute Full time

    Job SummaryWe are seeking a highly skilled and experienced Compliance Specialist to join our team at the British Compliance Institute. As a Compliance Specialist, you will play a critical role in ensuring that our organization adheres to all relevant regulatory requirements and industry standards.Key ResponsibilitiesDevelop and implement compliance programs...

  • Compliance Distribution Specialist

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. **THE RESPONSIBILITIES**: - Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. -...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    ABOUT THE ORGANIZATION:Our client is a forward-thinking investment platform operating within the Fintech sector, poised for significant expansion. They are in search of a Regulatory Compliance Specialist to enhance their team.KEY RESPONSIBILITIES:Oversee daily financial promotion approvals, address complaints, conduct transaction assessments, and manage...

  • Lead Compliance Oversight Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position OverviewOur client, a prominent international commercial banking institution, is seeking a Lead Compliance Oversight Specialist to oversee the compliance framework within their operations.Key ResponsibilitiesCompliance Framework Management: Develop and maintain the policies and procedures that constitute the compliance framework.Regulatory Review:...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    AJ FOX COMPLIANCE is a prestigious law firm in the UK, currently looking for a Regulatory Compliance Specialist to join our team. This position is crucial in upholding the firm's ethical standards and ensuring compliance with various regulations, including SRA, ICO, and Lexcel.Key Responsibilities:Assist legal professionals with inquiries regarding...

  • Validation and Compliance Specialist

    10 hours ago

    London, Greater London, United Kingdom British Compliance Institute Full time

    Job SummaryWe are seeking a highly skilled Validation and Compliance Specialist to join our team at the British Compliance Institute. As a key member of our team, you will be responsible for ensuring regulatory compliance through validation and qualification.Key ResponsibilitiesDevelop and implement a risk-based approach to determine processes requiring...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, United Kingdom ABM Global Compliance Full time

    Job OverviewAs a Regulatory Compliance Specialist at ABM Global Compliance, you will play a pivotal role in ensuring adherence to industry regulations and internal policies. Your expertise will help safeguard the organization against compliance risks while promoting a culture of integrity and accountability.Key ResponsibilitiesFormulate and document policies...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position OverviewABOUT THE ORGANIZATION:Compliance Professionals is a dedicated firm specializing in compliance solutions for investment management, overseeing assets totaling over £18 billion.KEY RESPONSIBILITIES:Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position OverviewABOUT THE ORGANIZATION: Compliance Professionals is a dedicated firm specializing in investment management, overseeing assets totaling over £18 billion.KEY RESPONSIBILITIES:Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance controls.Conduct daily compliance...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    ABOUT THE ORGANIZATION:Our client is a prominent investment-focused fund management entity, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY OVERVIEW:Our organization is a dedicated, investment-focused fund management firm, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily compliance...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY OVERVIEW:Our client operates as a prominent global investment management firm, with its headquarters situated in Europe. Their expertise encompasses secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Delivering management...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...

  • Compliance Officer

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for a Compliance Officer with a Financial Crime focus to join the thriving team. **THE RESPONSIBILITIES**: - Review complex documentation and AML/KYC information for new clients at...

  • AML Compliance and Monitoring Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY OVERVIEW: Compliance Professionals is a prominent entity in the securities sector, dedicated to maintaining the highest standards of compliance and regulatory adherence. We are currently seeking a Compliance AML and Monitoring Officer to enhance our compliance framework. KEY RESPONSIBILITIES:Oversee the client onboarding process, ensuring compliance...

  • AML Compliance and Monitoring Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY OVERVIEW: Compliance Professionals is a prominent player in the securities sector, seeking a skilled Compliance AML and Monitoring Officer to enhance their operations. KEY RESPONSIBILITIES:Oversee the client onboarding process, ensuring compliance for various entities including regulated organizations, private corporations, and investment...

  • Ad Regulatory Compliance

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global institutional investment management firm, based in the City. They are looking for a Regulatory Compliance specialist to join the team. The role is hybrid with 2/3 days expected in the office each week. **THE RESPONSIBILITIES**: - Assist in the management, supervised by the Director, Risk & Compliance, of the risk and...

  • Head of Compliance

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team on a part-time basis. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the business remains compliant with all relevant laws,...

  • Head of Compliance

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team. This is a great opportunity for someone to step up in to ‘Head of’ role. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the...