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Regulatory Compliance Specialist
2 months ago
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.
