Compliance Analyst

Schroders Investment Management
London, United Kingdom
24 Jun 2022
30 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 Global Investments and Product Compliance team. The Investment Compliance team is currently 11 individuals in the UK and 6 individuals across the Non-UK offices.

What you'll need to do

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 compliance and business teams. The activities include the provision of advice and support, surveillance and monitoring, training and assisting in strategic firm projects and implementation of new regulations.

  • Undertaking on-going desk based monitoring of trading and investment activities
  • Liaise on compliance matters, with overseas offices as necessary
  • Advise and assist investment teams on compliance matters, acting as a trusted advisor
  • Contribute to risk based surveillance of investment management activities.
  • Support the delivery of relevant thematic reviews
  • Review and draft internal policies and procedures
  • Daily monitoring of substantial shareholding positions approaching disclosure thresholds
  • Completion and submission of long and short disclosure notifications to UK,
  • European and other overseas issuers and authorities in an accurate and timely manner
  • Daily monitoring of EMEA Takeover Panels, submitting disclosures within stipulated deadlines

The knowledge, skills and qualifications we're looking for

• Previous experience working in a compliance or legal department
• Ability to assimilate and act on information quickly
• Proficient in Microsoft Excel, PowerPoint, Word and Outlook
• University qualification or equivalent
• Acute attention to detail and time management
• Assertive, proactive and highly organised
• Ability to work to tight deadlines and remain calm under pressure
• Experience or knowledge in all public and private asset classes

The knowledge, skills and qualifications that'll help

• Experience in shareholding disclosure monitoring and reporting
• Knowledge and awareness of disclosure rules, particularly UK and European

What you'll be like

• Passionate and eager to learn about Compliance
• Good administration skills, with high level of accuracy and attention
• Ability and willingness to learn processes and procedures
• Good written and oral communication skills at all levels, both internally and externally.
• Excellent telephone skills and experience in client liaison
• Able to work under pressure, prioritise workload and work to deadlines
• Able to work autonomously/pro-actively
• Self-motivated and enthusiastic
• Good at working in a team, and with other teams
• Someone with a real attention to detail and a meticulous nature
• Strong sense of initiative
• Flexible, curious and willing to learn

Schroders is an equal opportunities employer. You're welcome here whatever your sex, marital status, ethnic origin, sexual orientation, religious belief or age.

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