Compliance Manager, Private Assets Compliance Manager, Private Assets …

Schroders Investment Management
in Hong Kong
Permanent, Full time
Last application, 21 Jun 21
Schroders Investment Management
in Hong Kong
Permanent, Full time
Last application, 21 Jun 21
Posted by:
Jacylnn Tan • Onsite Recruitment Lead
Schroders Investment Management
Posted by:
Jacylnn Tan
Onsite Recruitment Lead
Compliance Manager, Private Assets
About Schroders

We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. We have around 4,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper.

The team

We're principally concerned with the regulatory requirements and expectations of the overseeing of policies & practices to address regulatory requirements set by the Securities and Futures Commission (SFC), and UK regulations where Schroders Hong Kong is lead regulated. We manage Schroders' relationship with its financial regulators and play an advisory role to colleagues on complex regulatory requirements. In addition, we're responsible for compliance monitoring and proactively mitigate any regulatory and reputational risks.

We work collaboratively with our colleagues in other business areas, including Fund Managers, Investment professionals, Analysts, Distribution, Marketing, Operations, Legal, Finance, HR and Risk to address regulatory issues and effective management which is now so significant to the success and prosperity of a major financial services business.

Who we're looking for

We are looking for a Compliance Manager whose primary responsibility is to coordinate compliance efforts for Private Assets in the region, including but not limited to real estate investment management. In this role the individual reports to the Head of Compliance Hong Kong, with a functional reporting line to Schroder Group's Head of Compliance, Private Assets. The role wil also contribute as part of the local compliance team in Hong Kong to support Schroder's asset management business in Hong Kong. You will need to interact with both senior compliance and business management. The activities include the provision of advice and support, surveillance and monitoring, training and assisting in strategic firm projects and implementation of new regulations.
  • Liaise on compliance matters, with overseas offices as necessary.
  • Advise and assist business management on compliance matters, acting as a trusted advisor and challenging partner.
  • Support relevant business-led projects, including integration of acquired businesses
  • Represent Compliance on various internal committees/working groups
  • Review draft internal policies and procedures.
  • Analyze the impact on Schroders of any new regulations and track the business units' implementation of processes to meet the regulations.
  • Perform risk-based compliance monitoring tests and perform thematic reviews.
  • Review new products, and review and advise marketing materials.
  • Handle substantial shareholding disclosure
  • Advise on potential conflicts of interest situation and provide reports to senior management.
  • Advise business units to manage the firm's financial crime risk (such as AML and anti-bribery) and perform monitoring on financial crime related issues. Act as the Local MLRO of Schroder Pamfleet, which is a real estate investment manager.
  • Prepare training materials and provide compliance training to internal business functions.

The knowledge, experience and qualifications you need
  • At least 6 years' work experience in the areas of Compliance, Operational Risk or Audit
  • Experience in compliance and the application of evolving regulatory expectations to a dynamic business model.
  • Experience or knowledge in all public and private asset classes (Private Equity, Real Estate etc.).
  • Regulator management experience.
  • Ability to communicate and present to senior management.
  • Good verbal, written communication and influencing skills.
  • Broad technical (markets and regulatory) knowledge.
  • Monitoring and surveillance experience/interest.

What you'll be like
  • A "team player" who displays a high degree of interpersonal skills, tact and diplomacy with all constituencies. Possesses strong collaboration skills with peers and colleagues within and outside the Compliance, Legal and Governance group. Respects and values people for what they do, not for their position and will seek, give and value feedback. Someone who drives the agenda by building credibility and enabling a change mind-set rather than issuing instructions. The individual needs to operate effectively as an experienced player and coach whilst always enabling diversity and inclusion.
  • Intellectual flexibility and project management: Ability to quickly grasp and solve complex problems and to prioritize multiple competing projects and initiatives and focus resources in line with such priorities. Astute at proactively identifying and shaping new industry, product or technical knowledge which will be advantageous to the business and awareness of current and evolving customer needs. Possesses a strong sense of urgency and an exceptional work ethic and is accustomed to a high degree of rigour, accuracy, detail and complexity.
  • Has the desire and capability to get involved in the details of key business issues and possesses a high degree of credibility and industry knowledge. Operates collaboratively across business teams and can meaningfully translate corporate strategy to the Compliance team.


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