Regulatory Compliance Specialist

6 days ago

Horsham, West Sussex, United Kingdom Schroders Full time

About Schroders

Schroders is a leading global asset management company that provides innovative investment solutions to its clients. Our mission is to help our clients achieve their financial goals by delivering exceptional investment performance and outstanding service.

Our Compliance Function

Our Compliance function plays a critical role in ensuring that Schroders operates in a compliant and regulatory environment. We are seeking a highly skilled Regulatory Compliance Consultant to join our team and support our compliance efforts.

Key Responsibilities

  • Assess and help operationalize regulatory requirements, both existing and new, to ensure compliance with all relevant regulations.
  • Provide practical insight and assist decision makers within the Schroders Group to ensure compliance with all relevant regulations, with specific focus on Financial Conduct Authority (FCA) outputs.
  • Provide timely and practical regulatory guidance, regulatory research, and assistance to relevant stakeholders, teams, and other compliance colleagues on applicable regulatory requirements and industry best practice standards.
  • Support projects and corporate initiatives, and have experience solving regulatory compliance issues, bringing specialized perspectives, and be comfortable leading regulatory projects and supporting all projects where regulatory guidance is required.

Requirements

  • 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.

Desirable Qualifications

  • 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.

What We Offer

Schroders is an equal opportunities employer. We welcome applications from diverse candidates and offer a range of benefits, including a competitive salary, pension scheme, and opportunities for professional development.

  • Regulatory Compliance Specialist

    2 days ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About SchrodersSchroders is a leading global asset management company that provides innovative investment solutions to support the growth and success of our clients. Our award-winning technology and support services enable financial advisers to run their businesses more productively and effectively, while our own Financial Advice business helps families find...

  • Regulatory Compliance Specialist

    2 days ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About SchrodersSchroders is a leading global asset management company that provides innovative investment solutions to support the growth and success of our clients. Our award-winning technology and support services enable financial advisers to run their businesses more productively and effectively, while our own Financial Advice business helps families find...

  • Regulatory Compliance Specialist

    2 days ago

    Horsham, West Sussex, United Kingdom Schroders Recruitment Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Schroders Recruitment. 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 ResponsibilitiesRegulatory Change Management: Assist the Group...

  • Regulatory Compliance Specialist

    3 days ago

    Horsham, West Sussex, United Kingdom Schroders Recruitment Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Schroders Recruitment. 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 ResponsibilitiesRegulatory Change Management: Assist the Group...

  • Regulatory Compliance Specialist

    7 days ago

    Horsham, West Sussex, United Kingdom Thermo Fisher Scientific Full time

    Job SummaryAs a QA Validation Specialist at Thermo Fisher Scientific, you will play a critical role in ensuring the quality and integrity of our products and processes. This position requires a strong understanding of Good Manufacturing Practices (GMP) and regulatory requirements.Key ResponsibilitiesProvide validation support to various departments,...

  • Regulatory Compliance Expert

    5 days ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About SchrodersSchroders is a leading global asset management company that provides innovative solutions to support financial advisers in their journey. Our award-winning technology and support services enable advisers to deliver high-quality services to their clients.Our PurposeAt Schroders, our purpose is to provide excellent client outcomes and service....

  • Regulatory Compliance Expert

    6 days ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About SchrodersSchroders is a leading global asset management company that provides innovative solutions to support financial advisers in their journey. Our award-winning technology and support services enable advisers to deliver high-quality services to their clients.Our PurposeAt Schroders, our purpose is to provide excellent client outcomes and service....

  • Regulatory Compliance Analyst

    4 weeks ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    Position Overview We are seeking a skilled Regulatory Compliance Analyst to join our Operations Compliance Team. This role is essential for conducting systematic evaluations of the firm's operational frameworks and controls, ensuring adherence to regulatory standards, and providing expert guidance to the business, particularly in relation to our Pension...

  • Environmental Lawyer

    2 weeks ago

    Horsham, West Sussex, United Kingdom Cloister Resourcing Full time

    Job SummaryCloister Resourcing is seeking an experienced Environmental Lawyer to join our expanding in-house legal team. As an Environmental Lawyer, you will provide focused, accurate, and timely legal advice, analysis, and support to our business on environmental aspects.Key ResponsibilitiesProvide legal advice and guidance on environmental matters,...

  • Compliance Monitoring Officer

    2 days ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About the RoleWe are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team at Schroders. As a key member of the team, you will play a crucial role in ensuring the firm's systems and controls are compliant with regulatory requirements.Key ResponsibilitiesUndertake regulatory monitoring, focusing on FCA and Pension...

  • Compliance Monitoring Officer

    2 days ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About the RoleWe are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team at Schroders. As a key member of the team, you will play a crucial role in ensuring the firm's systems and controls are compliant with regulatory requirements.Key ResponsibilitiesUndertake regulatory monitoring, focusing on FCA and Pension...

  • Compliance Officer

    5 days ago

    Horsham, West Sussex, United Kingdom Astral Recruitment Full time

    Astral Recruitment is seeking a seasoned Compliance Officer/Manager to join our client, a leading specialist financial services company based in the UK. This is a fantastic opportunity to work in a dynamic compliance department, supporting a team of experienced professionals.The ideal candidate will have a strong background in compliance, preferably from an...

  • Compliance Officer

    5 days ago

    Horsham, West Sussex, United Kingdom Astral Recruitment Full time

    Astral Recruitment is seeking a seasoned Compliance Officer/Manager to join our client, a leading specialist financial services company based in the UK. This is a fantastic opportunity to work in a dynamic compliance department, supporting a team of experienced professionals.The ideal candidate will have a strong background in compliance, preferably from an...

  • Compliance Officer

    3 days ago

    Horsham, West Sussex, United Kingdom Astral Recruitment Full time

    Astral Recruitment is seeking a seasoned Compliance Officer/Manager to join our client, a leading specialist financial services company based in the UK. This is a fantastic opportunity to work in a dynamic compliance department, supporting a team of experienced professionals.The ideal candidate will have a strong background in compliance, with experience...

  • Compliance Officer

    3 days ago

    Horsham, West Sussex, United Kingdom Astral Recruitment Full time

    Astral Recruitment is seeking a seasoned Compliance Officer/Manager to join our client, a leading specialist financial services company based in the UK. This is a fantastic opportunity to work in a dynamic compliance department, supporting a team of experienced professionals.The ideal candidate will have a strong background in compliance, with experience...

  • Compliance Professional

    7 days ago

    Horsham, West Sussex, United Kingdom Astral Recruitment Full time

    Astral Recruitment is seeking an experienced Compliance Officer/Manager to join our client, a specialist financial services company based in the UK. This is a great opportunity to work in a market leading company dealing with:Reviewing client files to confirm suitability and good consumer outcomes and adherence to regulatory and company requirements, and...

  • 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,...

  • Validation and Compliance Expert

    7 days ago

    Horsham, West Sussex, United Kingdom Thermo Fisher Scientific Full time

    Job SummaryAs a QA Validation Specialist at Thermo Fisher Scientific, you will play a critical role in ensuring the quality and integrity of our products and processes. This position requires a strong understanding of Good Manufacturing Practices (GMP) and regulatory requirements.Key ResponsibilitiesProvide validation support to various departments,...

  • Regulatory Affairs Expert

    5 days ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About the RoleWe 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 ResponsibilitiesAssess and help operationalize regulatory requirements, both...

  • Regulatory Affairs Expert

    6 days ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About the RoleWe 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 ResponsibilitiesAssess and help operationalize regulatory requirements, both...