Regulatory Compliance Expert

5 days ago

Horsham, West Sussex, United Kingdom Schroders Full time

About Schroders

Schroders is a leading global asset management company that provides innovative solutions to support financial advisers in their journey. Our award-winning technology and support services enable advisers to deliver high-quality services to their clients.

Our Purpose

At Schroders, our purpose is to provide excellent client outcomes and service. We believe that diversity of thought facilitated by an inclusive culture will allow us to make better decisions and achieve our purpose. As an equal opportunities employer, we welcome candidates from diverse backgrounds.

Job Summary

We are seeking a highly skilled Training and Competence Specialist to join our team. The successful candidate will have a detailed knowledge of FCA rules and their interpretation/application, as well as the ability to train and motivate others. They will also have highly developed analytical, observational, and communication skills.

Key Responsibilities

  • Develop and implement training programs to ensure compliance with FCA rules and regulations
  • Provide guidance and support to colleagues on regulatory matters
  • Collaborate with the compliance team to ensure effective implementation of regulatory requirements
  • Conduct regular audits to ensure compliance with FCA rules and regulations

Requirements

  • Detailed knowledge of FCA rules and their interpretation/application
  • Ability to train and motivate others
  • Highly developed analytical, observational, and communication skills
  • Minimum of level 4 Diploma in regulated financial planning (or equivalent)
  • Significant compliance experience within the financial services industry

Desirable Qualifications

  • L6 Advanced Diploma working towards Chartered Status
  • J07 Supervision in a Regulated Environment
  • Specialist qualifications in areas such as equity release, occupational pensions, and long-term care

What We Offer

Schroders offers a competitive salary and benefits package, as well as opportunities for professional development and growth. We are committed to creating an inclusive and diverse work environment that values and respects all employees.

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