Compliance Specialist Compliance Specialist …

Schroders Investment Management
in London, United Kingdom
Permanent, Full time
Last application, 18 Oct 21
Competitive
Schroders Investment Management
in London, United Kingdom
Permanent, Full time
Last application, 18 Oct 21
Competitive
Schroders Investment Management
Compliance Specialist
Who we're looking for

An enthusiastic, motivated individual who is happy to be part of the UK Distribution Compliance team, providing Compliance advice and guidance to Marketing, Distribution and Product teams in the UK, and liaising with local Compliance and legal teams to provide global leadership on relevant subject matters and group projects.

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 6,000 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

You'll be part of the UK Asset Management Compliance team, which is functionally split into three teams: Distribution, Investment and Product & Fund

Operations Compliance.

As Distribution Compliance, we focus on Sales and Marketing, but also interact with Product and Operations teams generating content and client communications. We work closely with the Central Compliance team, e.g. on policy, training and regulatory change, the Financial Crime team and our Legal, Compliance and Governance colleagues globally.

Although based in the UK, we work closely with our EMEA colleagues and have a functional leadership role for Distribution and Marketing Compliance with all global Compliance teams.

What you'll do

Reporting to the EMEA Marketing Compliance Manager, you'll be a Compliance Specialist in the Distribution Compliance team in the UK.

The main responsibilities of the role are:

• Review and approve marketing material / financial promotions in cooperation with EMEA and global Compliance teams;
• Review the team's mailbox and liaise with team members to resolve and deal with any queries received in a timely manner;
• Provide Compliance advice and guidance on regulatory rules and expectations to Marketing, Sales and Product teams;
• Review and provide guidance on business policies and procedures to ensure that relevant regulatory requirements are met;
• Perform regular Compliance monitoring and surveillance in relation to Distribution and Marketing activities;
• Provide Compliance training in relation to financial promotions and other client communications as required;
• Support the team's process around identification, escalation, resolution and reporting of complaints, breaches and other errors relevant to the supported business areas;
• Maintain the team's procedures, database and Intranet guidance;
• Support regulatory change analysis and implementation.

You may also need to assist with the performance of other compliance related activities and projects as required.


The knowledge, experience and qualifications you need

• Relevant Compliance / Asset Management experience working within the UK regulatory or EEA environment
• Ability to demonstrate and evidence strong commitment to Compliance and essential underlying values
• Strong technical skills and knowledge of both retail and institutional distribution activities and asset management products
• Confident in dealing with people at all levels, and comfortable with giving presentations and training
• Proficient in use of Excel, Word, Outlook and the internet

The knowledge, experience and qualifications that will help

• Experience working for an asset management firm
• Project management experience
• Confident in dealing with people at all levels
• Comfortable with giving presentations and training
• Proficient in use of Excel, Word, PowerPoint, Outlook and the intranet
• Relevant professional training (e.g. Accounting/Audit, Legal, Compliance)
• Major European or Asian languages

What you'll be like

• Reliable and well organised
• Good written and oral communication skills
• 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

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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