Regulatory Compliance Specialist

3 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 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 solutions to meet their needs and aspirations.

Our Commitment to Excellence

We are committed to ensuring good client outcomes, with the client's interests central to our decision-making. Our Treating Customers Fairly principles are embedded within our organization, and we take responsibility for embracing and promoting our duty of care to all clients, including those who may be more vulnerable than others.

Our Work Environment

We offer a dynamic and supportive work environment, with a spacious campus facility that provides a great working environment for our team. Our on-site restaurant, coffee shop, and gym make it easy to stay energized and focused throughout the day. And with our dedicated regular shuttle bus to and from Horsham's main line train station, commuting is a breeze.

The Role

We are seeking a highly skilled Regulatory Compliance Specialist to join our team. As a key member of our Compliance Technical function, you will be responsible for supporting the regulatory change and compliance advisory aspects of our business. Your primary responsibility will be to assess and help operationalize regulatory requirements, both existing and new. You will provide practical insight and assist decision-makers within our organization to ensure compliance with all relevant regulations, with a specific focus on Financial Conduct Authority (FCA) outputs.

Your Key Responsibilities

  • 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.
  • Advise on creating solutions for the business that best integrate the need to meet regulatory requirements with the needs of our customers, clients, and business.
  • Work closely with other business areas, such as Risk & Compliance, Operations, Change, and Schroders (Compliance, Legal, and Public Policy) to collaboratively assist in delivering regulatory change programs.

What We're Looking For

We are seeking a highly skilled and experienced Regulatory Compliance Specialist who has a strong understanding of the impact of regulatory initiatives on the financial services industry and business functions. You will have:

3+ years' experience within a FS 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.Ability to communicate the impact of regulatory developments to a range of senior internal and external partners in a concise and articulate manner.Highly developed investigative, analytical, and observational skills with the ability to distil complex information quickly.Competent with Microsoft Office programs, including data analysis/manipulation in MS Excel.

What We Offer

We offer a competitive salary and benefits package, as well as opportunities for professional growth and development. If you are a motivated and experienced Regulatory Compliance Specialist looking for a new challenge, we encourage you to apply.

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