Senior Compliance Manager - Investment
The Compliance team comprises over 45 individuals in the UK, reporting through to the Global Head of Compliance. The Compliance team located in the UK covers Investment, Distribution, Financial Crime Risk, Core Compliance and Wealth Management.
Who we look for
We are looking for a Compliance Senior Manager reporting into the Head of Global Investments Compliance. The Investment Compliance team is currently 8 individuals in the UK and 6 individuals across the Non-UK offices.
Play a key role in aligning the compliance framework to supporting the Investment teams across Schroders asset management. The role will require the individual 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.
• To have managerial responsibilities.
• To advise and assist business management on compliance matters, acting as a trusted advisor and challenging partner.
• To undertake risk based surveillance of investment management activity.
• To support the delivery of relevant thematic reviews.
• To support relevant business-led projects and development of internal policies and procedures.
• To represent Compliance on various internal committees.
• To review draft internal policies and procedures.
• Experience in investment compliance and the application of evolving regulatory expectations to a dynamic business model.
• Team / Staff management experience.
• Regulator management experience.
• Well-organised, self motivated and thorough.
• 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.
• Experience or knowledge in all public and private asset classes (Private Equity, Real Estate etc.).
• Team skills: 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.
• Business Acumen: 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.