Compliance Analyst Compliance Analyst …

Schroders Investment Management
in London, United Kingdom
Permanent, Full time
Last application, 24 Nov 21
Competitive
Schroders Investment Management
in London, United Kingdom
Permanent, Full time
Last application, 24 Nov 21
Competitive
Schroders Investment Management
Compliance Analyst
Who we're looking for
A pro-active, personable and adaptable individual to join a dynamic team which has broad and varied responsibilities in supporting Schroders Group with central (core) compliance activities.

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 5,000 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 base
We moved into our new HQ in the City of London in 2018. We're close to our clients, in the heart of the UK's financial centre. And we have everything we need to work flexibly.

The team
The Central Compliance team owns and manages global Compliance frameworks, exercises oversight of their application and provides support to global Compliance teams and business areas including the Compliance Assurance programme, training, policies, regulatory change and employee compliance, including, for the UK, owning processes that meet the requirements of the Senior Managers and Certification Regime (SMCR).

What you'll do
• Supporting in the management and further enhancement of efficient and disciplined processes, quality management and constant improvement within Schroders UK and global Compliance functions governing core Compliance activities and systems, including:
o undertaking the daily and ad-hoc tasks associated with Schroders' Compliance system ('My Compliance') for Personal Account Dealing and Gifts & Entertainment pre-clearance, reporting and monitoring;
o undertaking the monitoring and surveillance programme for Personal Account Dealing and Gifts & Entertainment and reporting;
o assisting with the reporting to and interactions with the FCA and where necessary PRA on registration and approval processes and a range of non-financial regular and ad hoc regulatory reporting;
o supporting with the compilation, drafting and production of core compliance management information (for senior management, committee and regulated entity board reporting) and support to the Global Head of Compliance and to the Group General Counsel, who has Group Management Committee responsibility for Compliance;
o performing ad-hoc research, analysis, reporting and interactions with stake-holders in support of key compliance technology and other process improvement projects and enhancements
o performing daily and ad-hoc electronic communications surveillance monitoring and reporting

Key Responsibilities:
• Proactive, enquiring and sceptical with solid analytical skills and good judgment, to identify/propose appropriate solutions
• The knowledge, experience and qualifications you need
• Demonstrable experience in Regulatory / Compliance field
• Experience in conducting monitoring/ surveillance activities
The knowledge, experience and qualifications you need:
• Demonstrable experience in Regulatory / Compliance field
• Experience in conducting monitoring/ surveillance activities
The knowledge, experience and qualifications that will help:
• Asset Management Compliance experience
• Electronic communications monitoring experience

What you'll be like:
• Good oral and written communications skills
• Ability to document processes in policies & procedures
• Management reporting skills
• Ability and skills to work effectively with and optimise the use of technology
• Ability to work independently, to prioritise and manage tasks & projects to given deadline
• Motivated, committed and enthusiastic personality.
• Strong numeracy, comprehension and analytical skills.
• Ability to prioritise, and work effectively under pressure.
• Uses initiative to solve problems.
• Strong communication skills and a consultative approach coupled with a "can-do" attitude.
• Able to work collaboratively across teams.
• Focused on continuous improvement, quality and delivery.

We're looking for the best, whoever they are
Schroders is an equal opportunities employer. You're welcome here whatever your socio-economic background, race, sex, gender identity, sexual orientation, religious belief, age or disability.

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