Compliance Specialist - London, United Kingdom - Schroders

Schroders

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Location:
London, UK

Job title:
Compliance Specialist

Who we're looking for

We are looking for a Compliance Specialist who will be reporting into the Head of Equities and Trading Compliance and will be part of the Asset Management Compliance team that covers Investment, Product, Client Group, Marketing and Regulatory initiatives.

The individual will be a member in a team of 22.

About Schroders
We're a global asset 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 broader Compliance team comprises over 60 individuals in the UK, reporting through to the Chief Risk Officer.

The Compliance team located in the UK covers Investment, Product, Client Group, Financial Crime Risk, Core Compliance and Wealth Management.

What you'll do

Undertaking ongoing deskbased monitoring of trading and investment activities;
Daily monitoring of substantial shareholding positions approaching disclosure thresholds and ensuring disclosures are filed in a timely manner;
Completion and submission of long and short disclosure notifications to UK;
Liaise on compliance matters, with overseas offices as necessary;
Advise and assist investment teams on compliance matters, acting as a trusted advisor and challenging partner (including UCITS eligibility checks, trading queries and regulatory projects);
Contribute to riskbased surveillance of investment management activities;
Support the delivery of relevant thematic reviews;
Review and draft internal policies and procedures;
Represent Compliance across different internal committees and client meetings;
Training investment teams as new requirements emerge or general BAU and
Assist in implementing strategic and regulatory projects from a Compliance perspective.

The knowledge, experience, and qualifications you need

Wellorganised, selfmotivated, and thorough;
Ability to liaise with and present to senior management;
Good verbal, written communication and influencing skills;
Broad technical (markets and regulatory) knowledge;
Monitoring and surveillance experience/interest;
Experience and/or knowledge in all public and private asset classes (Private Equity, Real Estate, Infrastructure, Insurance Linked Securities etc.);
Plus if you have worked in Private Assets more broadly and
2+ years in compliance.

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 and
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.