Compliance Manager Compliance Manager …

Schroders Investment Management
in London, United Kingdom
Permanent, Full time
Last application, 27 Oct 21
Competitive
Schroders Investment Management
in London, United Kingdom
Permanent, Full time
Last application, 27 Oct 21
Competitive
Schroders Investment Management
Compliance Manager
Who we're looking for

An enthusiastic, motivated individual who is happy to work as part of the UK Distribution Compliance team with a range of stakeholders across Marketing, Product and global Compliance teams, confident in providing robust and practical advice on regulatory requirements and approving financial promotions for EMEA and global use.

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 flexible.

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 Global Head of Distribution Compliance, you'll be a Compliance Manager in the Distribution Compliance team in the UK, with particular focus and Marketing and Financial Promotions Compliance.

The primary responsibilities of the role are:

• Provide Compliance advice and guidance to supported the business areas on regulatory rules and expectations in relation to financial promotions, client communications, fund offering documents, social media content and approval processes;
• Manage the review and approval of financial promotions and co-ordinate on approach, guidance and processes within EMEA and with global Compliance teams;
• Identify regulatory training requirements within Marketing and Communications (and Product teams). Devise and deliver training to meet identified training requirements
• In conjunction with the regulatory change team, identify, analyse and track regulatory change affecting Marketing and Communications (and Product teams), and communicate to impacted business areas as appropriate.
• Participate in the scoping and performing of Compliance Monitoring reviews in relation to defined areas of activity, as agreed in the annual compliance monitoring programme.
• Ensure that complaints, breaches and other errors relevant to Marketing and Communications (and Product teams) are appropriately identified, escalated and resolved.
• Review and provide guidance on Marketing and Communications (and Product teams') policies and procedures to ensure that relevant regulatory requirements are met.
• 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

• 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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