Compliance Analyst - Wealth Management

Schroders Investment Management
London, United Kingdom
20 May 2022
19 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Who we're looking for
We are looking for a Compliance Analyst who will be reporting into one of the senior managers with in the UK Wealth Compliance team. The Wealth Compliance team is currently 10 individuals in the UK.

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 5,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes.

The UK Wealth business provides investment management, wealth planning advice and banking services to individuals, charities and small businesses.

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.

What you'll do
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.

The knowledge, experience and qualifications you need
• Previous experience in compliance
• Broad technical (financial and regulatory) knowledge.
• Monitoring and surveillance experience/interest.
• Experience or knowledge in all public and private asset classes

The knowledge, experience and qualifications that will help
• Well-organised, self motivated and thorough.
• Ability to communicate and present
• Good verbal and written communication skills

What you'll be like
• 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.
• Intellectual flexibility and project management: Ability to quickly grasp and solve 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. Operates collaboratively across business teams and can meaningfully translate corporate strategy to the Compliance team.

We're looking for the best, whoever they are
Schroders is an equal opportunities employer. You're welcome here whatever your background, race, sex, gender, sexual orientation, religious belief, age or disability.

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