- Not Specified
- London, England, United Kingdom
- Permanent, Full time
- Schroders Investment Management
- 17 Oct 17
Salary: Not Specified
Location: London, England, United Kingdom
Job Type: Full time
This role will report directly to the Team Head of Compliance you will be expected to undertake daily responsibilities within the Wealth Management Compliance department, which includes: • advisory, reporting, disclosure, surveillance and monitoring, thereby assisting the Company to meet the regulatory standards expected by
This role will report directly to the Team Head of Compliance you will be expected to undertake daily responsibilities within the Wealth Management Compliance department, which includes:
• advisory, reporting, disclosure, surveillance and monitoring, thereby assisting the Company to meet the regulatory standards expected by our clients and required by local regulators; and
• To assist in providing advice and support for Cazenove Capital Management Asia Limited on regulatory matters.
Overview of Key Duties:
The Compliance Manager shall ensure that all his 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.
You will be expected to:
• 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;
• Undertake specified regular compliance reviews (e.g. client file suitability) and occasional special thematic reviews, including the identification and reporting of potential regulatory issues;
• Review of marketing materials from a compliance perspective;
• Maintain 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, SFC and Group Compliance;
• Provide or assist in the provision of training on compliance and AML matters; and
• Liaise as necessary with members of the Compliance teams in the Service Centre Zurich, the Wealth Management Division and Group Compliance.
• Ensure that the Team Head Compliance is made aware of any issues, in a timely manner, which in the Compliance Manager’s view are material and which should be communicated to the Team Head Compliance, the Head of Compliance & Risk, Wealth Management, the UK Management Committee, the CEO, the Chairman and/or the Board
• Provide to the Team Head Compliance an annual assessment of his own performance against objectives agreed with the Team Head Compliance.
• Typical educational requirement: Degree (or equivalent).
• Is a recognised specialist in a relatively narrow field of Regulation / Compliance / Risk and would be expected to work autonomously. Likely to be called upon to provide detailed advice to others in their specialist area.