Compliance Specialist

Who we’re looking for

We are looking for a Compliance Specialist in the Public Markets area who will be reporting into one of managers within the Compliance team. The Compliance team you will be joining is currently 21 individuals in the UK and 10 in the US and EMEA.  Functionally there are 10 compliance individuals in all regions where we do business. 

Play a key role in aligning the compliance framework to supporting the teams across Schroder’s asset management. The role will require the individual to interact with compliance and business teams. The individual may be involved as required across a range of activities like surveillance and monitoring, training, and assisting in strategic firm projects and implementation of new regulations. 

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 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.

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.

What you’ll do 

• Daily monitoring of substantial shareholding positions approaching disclosure thresholds and ensuring all disclosures are filed in a timely manner 
• 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 
• Identify/assess and interpret regulations including interacting with regulators 
• Contribute to risk-based surveillance of investment management activities
• Support the delivery of relevant thematic reviews
• Review and draft policies and procedures
• Completion and submission of long and short disclosure notifications to UK, European and other overseas issuers and authorities in an accurate and timely manner.

The Knowledge, Experience, and Qualifications you need 

• 4+ years in compliance 
• Well-organised, self-motivated and thorough.
• Ability to communicate and present. 
• Good verbal and written communication skills
• Broad technical (markets and regulatory) knowledge.
• Monitoring and surveillance experience/interest.
• Experience or knowledge in all public and private asset classes
• Interest in AI a plus

What you’ll be like

• 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.

• 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 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.