Compliance Officer

1 week ago

London, Greater London, United Kingdom Schroders Full time

About the Role

We are seeking a highly motivated and experienced Compliance Manager to join our UK Distribution Compliance team at Schroders. As a key member of our team, you will play a critical role in providing Compliance advice and guidance to our Marketing, Distribution, and Product teams in the UK, as well as liaising with local Compliance and legal teams to provide global leadership on relevant subject matters and group projects.

About the Team

You will be part of our large Risk & Compliance team in the UK, and sit within the Client Group, Investment, Product & Fund Operations Compliance functional team. As Client Group Compliance, we focus on Sales and Marketing, but also interact with Product and Operations teams generating content and client communications. 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.

Key Responsibilities

  • Review and approve marketing material / financial promotions in cooperation with EMEA and global Compliance teams;
  • 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.

Requirements

  • 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.

About Schroders

Schroders is a global investment manager with over 200 years of experience in the financial industry. 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.

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