The Global Head of Compliance is based in the UK. Responsibility for UK Compliance is split between the "Head of Compliance, Investment", "Head of Compliance, Distribution" and "Head of Compliance Infrastructure", each having responsibilities in the UK with oversight and co-ordination roles globally in relation to their compliance areas. The Head of Compliance, Distribution is supported in the UK by a Senior Compliance Manager, two Compliance Managers and a Compliance Specialist, UK Financial Promotions.
It is the role and responsibility of the Compliance Department, among other things, to:
- advise Schroders' businesses on regulatory requirements, best practice and the implementation thereof,
- communicate and support the implementation of regulatory changes and developments,
- complete compliance monitoring in line with the annual compliance monitoring programme.
Overview of role
We are looking for a Compliance Manager to join the UK Distribution
Compliance team. The primary responsibilities of the role are:
- Provide Compliance advice and guidance in relation to the business areas supported by the Distribution compliance team, with a focus on fund administration, client services (both retail and institutional) and Intermediary sales activity, but also assisting other areas such as Product Development, Marketing and Institutional sales.
- Identify, review and track regulatory change within Distribution and communicate as appropriate. Analysing the impact of relevant regulatory consultation papers and policy statements for their potential effect on the business.
- Review and approve retail advertising, marketing and e-marketing material for use in the UK.
- Ensure that complaints, breaches, pricing errors and other errors relevant to Distribution areas are appropriately identified, escalated and resolved.
- Review Distribution policies and procedures to ensure that relevant regulatory requirements are met.
- Support the Compliance Monitoring team in their execution of the annual compliance monitoring programme.
- Identify regulatory training requirements within Distribution. Devise and deliver training to meet identified training requirements.
- Assist with the performance of other compliance related activities and projects as required.
- Relevant Compliance/ Asset Management experience working within the UK regulatory environment
- Ability to demonstrate and evidence strong commitment to Compliance and essential underlying values
- Reliable and well organised
- Good written and oral communication skills
- Confident in dealing with people at all levels, and comfortable with giving presentations and training
- Strong technical skills and knowledge of both retail and institutional distribution activities
- Attention to detail
- Able to work to tight deadlines and remain calm under pressure
- Able to build trust and foster relationships with relevant teams / areas
- Proficient in use of Excel, Word, Outlook and the internet
- Relevant professional training (e.g. Accounting/Audit, Legal, Compliance)
- Major European or Asian languages