Compliance Analyst - Wealth Management Compliance Analyst - Wealth Management …

Schroders Investment Management
in London, England, United Kingdom
Permanent, Full time
Last application, 02 Apr 20
Competitive
Schroders Investment Management
in London, England, United Kingdom
Permanent, Full time
Last application, 02 Apr 20
Competitive
Schroders Investment Management
Compliance Analyst - Wealth Management
Delegation of Authority

The Compliance Analyst reports directly to the Head of UK Compliance, Wealth Management who has delegated to him/her responsibility for the matters set out in this job description.

Principal Responsibilities

The principle responsibilities are:

- To undertake daily responsibilities within the Compliance department, including advisory, reporting, disclosure, surveillance and monitoring, thereby assisting the Company to meet the regulatory standards expected by our clients and required by local regulators.
Discharge of Responsibilities

The Compliance Analyst shall ensure that all his/her responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Wealth Management Division and the Schroder Group.
In discharging their responsibilities the Compliance Analyst shall:

- Assist in the provision of advice on regulatory changes, day-to-day activities, specified projects, complaints, breaches, new products and services, and development of internal policies and procedures;
- Assist in Compliance Surveillance, undertaking specified regular compliance reviews (e.g. client file suitability) and occasional special thematic reviews, including the identification and reporting of potential regulatory issues;
- Assist in review of marketing materials from a compliance perspective;
- Assist in maintaining required compliance records, including complaints, breaches and financial promotions;
- Assist the review and process updates/amendments to internal policies and procedures;
- Assist in responding to requests and review findings from Group Compliance and external or internal auditors on regulatory compliance matters;
- Assist in the preparation of regulatory reporting to the PRA, FCA and Group Compliance; and
- Liaise as necessary with members of the Compliance teams across the Company, the Wealth Management Division and Group Compliance.

Reporting

In discharging their responsibilities the Compliance Analyst shall:
- Ensure that the Head of UK Compliance is made aware of any issues, in a timely manner, which in the Compliance Analyst's view are material and which should be communicated to the Head of UK Compliance, Head of Wealth Management Compliance, the Management Committee, the CEO, the Chairman and/or the Board.
- Provide to the Head of UK Compliance an annual assessment of his/her own performance against objectives agreed with the Head of UK Compliance.

Committee Membership

None

Board Memberships

None

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