Compliance Analyst - 12 month FTC

Schroders Investment Management
London, United Kingdom
30 Jun 2022
21 Jul 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 Managers in the Compliance and Risk Central Team.

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. 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.

The team
The Compliance Team comprises over 45 individuals in the UK, reporting through to the Global Head of Compliance. The Compliance team located in the UK covers Investment, Distribution, Financial Crime, Core Compliance and Wealth Management. The Centre of Excellence team is part of the broader Compliance team that will be responsible for monitoring across, communications, market abuse including best execution and financial crime.

What you'll do
• Supporting in the management and further enhancement of efficient and disciplined processes, quality management and constant improvement within Schroders UK and global Compliance functions governing core Compliance activities and systems, including:
• undertaking the daily and ad-hoc tasks associated with Schroders' Compliance system ('My Compliance') for Personal Account Dealing and Gifts & Entertainment pre-clearance, reporting and monitoring;
• undertaking the monitoring and surveillance programme for Personal Account Dealing and Gifts & Entertainment and reporting;
• assisting with the reporting to and interactions with the FCA and where necessary PRA on registration and approval processes and a range of non-financial regular and ad hoc regulatory reporting;
• supporting with the compilation, drafting and production of core compliance management information (for senior management, committee and regulated entity board reporting) and support to the Global Head of Compliance and to the Group General Counsel, who has Group Management Committee responsibility for Compliance;
• performing ad-hoc research, analysis, reporting and interactions with stake-holders in support of key compliance technology and other process improvement projects and enhancements
• performing daily and ad-hoc electronic communications surveillance monitoring and reporting

The knowledge, experience and qualifications you need
• Previous experience in compliance
• Broad technical (markets and regulatory) knowledge
• Demonstrable interest in financial crime risks and operational output to support controls mitigating risk
• 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 socio-economic background, race, sex, gender identity, sexual orientation, religious belief, age or disability.

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