Regulatory Support Specialist

7 days ago


Horsham, West Sussex, United Kingdom Schroders Full time

**About the Role**

We are seeking a highly organized and detail-oriented Compliance Administrator to join our team at Schroders. As a key member of our Compliance team, you will play a vital role in ensuring the smooth operation of our supervisory scheme across the Network.

**Key Responsibilities**

  • Undertake focused file checks for the Network's AR firms, maintaining accurate records of findings and communicating them to the team within desired timescales.
  • Assist with the Compliance Function across the Network by undertaking Monthly, Quarterly, Biannual, and Annual tasks.
  • Attend Compliance Team Meetings and contribute to discussions as appropriate.
  • Provide administrative support to the Compliance and Membership teams as required.
  • Liaise with the team on associated tasks and projects, and provide constructive input.
  • Support the Compliance Director with technical tasks and regulatory analysis.
  • Take on tasks and projects as requested by the Compliance Supervisors, Manager, and Director with a proactive approach.
  • Update manuals, procedures, and Network documentation as directed by senior management.

**Requirements**

  • A good level of Financial Services industry experience, preferably in a retail/IFA environment.

**About Us**

Schroders is a leading global asset management company that provides innovative solutions to support financial advisers and their clients. We are committed to delivering excellent client outcomes and service, and we believe that diversity of thought facilitated by an inclusive culture is essential to achieving our purpose. We are an equal opportunities employer and welcome applications from candidates with diverse backgrounds and experiences.



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