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Compliance Manager
2 months ago
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 6,000 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 Business
We operate in the heart of the UK's financial centre, close to our clients. We have everything we need to work flexibly.
The Team
You'll be part of the large Risk & Compliance team in the UK, and sit within the Client Group, Investment, Product & Fund Operations Compliance functional team.
We work closely with the Central Compliance team, e.g. on policy, training, monitoring and regulatory change, the Financial Crime team and our Legal, Compliance and Governance colleagues globally.
Our Expectations
We're looking for an enthusiastic, motivated individual who is happy to be part of the UK Distribution Compliance team, providing Compliance advice and guidance to Marketing, Distribution and Product teams in the UK, and liaising with local Compliance and legal teams to provide global leadership on relevant subject matters and group projects.
Your Responsibilities
- Review and approve marketing material / financial promotions in cooperation with EMEA and global Compliance teams;
- Review the team's mailbox and liaise with team members to resolve and deal with any queries received in a timely manner;
- Provide Compliance advice and guidance on regulatory rules and expectations to Marketing, Sales and Product teams;
- Review and provide guidance on business policies and procedures to ensure that relevant regulatory requirements are met;
- Perform regular Compliance monitoring and surveillance in relation to Distribution and Marketing activities;
- Provide Compliance training in relation to financial promotions and other client communications as required;
- Support the team's process around identification, escalation, resolution and reporting of complaints, breaches and other errors relevant to the supported business areas;
- Maintain the team's procedures, database and Intranet guidance;
- Support regulatory change analysis and implementation.
Your Qualifications
- Relevant Compliance / Asset Management experience working within the UK regulatory or EEA environment;
- Ability to demonstrate and evidence strong commitment to Compliance and essential underlying values;
- Strong technical skills and knowledge of both retail and institutional distribution activities and asset management products;
- Confident in dealing with people at all levels, and comfortable with giving presentations and training;
- Proficient in use of Excel, Word, Outlook and the internet.
What We Offer
- Reliable and well organised;
- Good written and oral communication skills;
- Attention to detail;
- Able to work to tight deadlines and remain calm under pressure;
- Able to build trust and foster relationships with relevant teams / areas.
We Value Diversity
We recognise potential, whoever you are. Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.
