Regulatory Affairs Expert
6 days ago
We are seeking a highly skilled Regulatory Compliance Consultant to join our team at Schroders. As a key member of our Compliance function, you will play a critical role in ensuring that our business operates in compliance with all relevant regulatory requirements.
Key Responsibilities- Assess and help operationalize regulatory requirements, both existing and new, to ensure compliance with all relevant regulations.
- Provide practical insight and guidance to senior internal and external partners on applicable regulatory requirements and industry best practice standards.
- Support projects and corporate initiatives, and provide analysis, assessment, and documentation for regulatory initiatives of all sizes.
- Collaborate with other business areas, such as Risk & Compliance, Operations, and Change, to deliver regulatory change programs.
- 3+ years' experience within a Financial Services Compliance function, ideally within an advisory/support role in the wealth/investment management industry.
- Good knowledge of investment/wealth management industry, including pensions and platforms.
- Well-developed regulatory compliance experience, and ability to operationalize regulatory change.
- Good understanding of relevant regulatory rules (especially FCA) and their interpretation/application, gained through previous exposure and/or professional qualifications.
- General awareness of Financial Services and Markets Act 2000 (FSMA) and other related legislation.
- Good understanding of current and emerging regulatory compliance market trends, methods, and tools.
- Strong interpersonal and communication skills (written and spoken) with the ability to build strong working relationships with key stakeholders in the business and compliance.
- Project management skills; excellent planning, organizational, and time management skills.
- 5+ years' experience working on regulatory initiatives in FS industry, with a strong understanding of the impact of FCA regulatory expectations on the wealth/investment management industry.
- Experience working within a network or firms with appointed representatives (ARs) as well as in platforms and Self-invested Personal Pension (SIPP) operators.
- Ability to interpret legal requirements and other jurisdiction-based regulations and directives.
- University (ideally law degree) and/or professional qualifications desirable, but not essential.
We offer a competitive salary and benefits package, as well as opportunities for professional development and growth. If you are a motivated and experienced Regulatory Compliance Consultant looking for a new challenge, please submit your application.
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