Job Description
Who we’re looking for
We are looking for a Compliance Analyst who is a pro-active, personable and adaptable individual to join a dynamic team which has broad and varied responsibilities in supporting Schroders Group with central (core) compliance activities.
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 as well as our portfolio managers deliver the best for the funds/portfolios they manage.
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
Our HQ is in the City of London. 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 Central Risk & Compliance team owns and manages global Risk and Compliance frameworks, exercises oversight of their application and provides support to global functional teams and business areas including through the Compliance Assurance programme, training, policies, and employee compliance.
What You’ll Do
- Undertake daily and ad-hoc tasks for Schroders' Compliance systems (including 'My Compliance') related to Personal Account Dealing and Gifts & Entertainment pre-clearance, monitoring, and reporting.
- Perform desk-based monitoring and surveillance of trading and investment activities, including Personal Account Dealing, Gifts & Entertainment, and electronic communications.
- Conduct ongoing and thematic risk-based surveillance of investment management activities.
- Monitor substantial shareholding positions, ensuring timely completion and submission of long and short disclosure notifications to UK, European, and overseas issuers and authorities.
- Liaise on compliance matters with both UK-based and overseas offices, and provide support and advice to investment teams as a trusted advisor.
- Assist with compiling, drafting, and producing core compliance management information for reporting to senior management, committees, and regulated entity boards.
- Contribute to the development, review, and drafting of internal compliance policies and procedures, focusing on process improvement and documentation.
- Support reporting to, and interactions with, regulatory authorities (such as the FCA and PRA) for registration, approval, and regular/ad hoc reporting purposes.
- Participate in key compliance technology and process enhancement projects and initiatives.
The Knowledge, Experience, And Qualifications You Need
- Educated to degree level or equivalent.
- Demonstrable experience in regulatory or compliance roles, preferably within financial services or asset management.
- Experience conducting monitoring or surveillance activities.
- Understanding of rules for sensitive industries, and long/short disclosure requirements for the UK, Germany, and wider Europe.
- Experience working in or collaborating with global teams is desirable.
What You’ll Be Like
- Proactive, enquiring mindset with strong analytical and problem-solving skills.
- Excellent oral and written communication abilities.
- Ability to draft clear policies, procedures, and management reports.
- Skilled in the effective use of technology, with a focus on continuous improvement and quality.
- Organised, able to manage tasks and projects independently to tight deadlines.
- Collaborative, with strong relationship-building skills across teams and geographies.
- Strong numeracy, comprehension, and attention to detail.
- Motivated, enthusiastic, and committed approach, with a consultative, can-do attitude.
- Ability to work well under pressure and prioritise effectively.
We Recognise Potential, Whoever You Are
Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic .
About Us
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.