Compliance and Training Expert

3 days ago


Horsham, West Sussex, United Kingdom Schroders Full time
Key Responsibilities
  • Maintain a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired timescales.
  • Monitor AR firms, coaching and mentoring approved persons both remotely and on-site, to ensure compliance with both regulatory rules and Network procedures.
  • Liaise effectively with senior management in respect of regulatory and Network issues.
What We Offer

In this role, you will have the opportunity to work with a leading global asset management company, contributing to the delivery of excellent client outcomes and service. You will be part of a dynamic team that values diversity and inclusion, and is committed to providing a supportive and inclusive work environment. Our purpose is to provide excellent client outcomes and service, and we believe that diversity of thought facilitated by an inclusive culture will allow us to make better decisions and achieve our purpose.



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