Compliance Analyst - UK - 535 - #145964

Job Description

Who we're looking for

A pro-active, personable and adaptable individual to join a dynamic team which has broad and varied responsibilities in supporting the Wealth Management Division 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.

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 team

The WM Risk & Compliance team is lead from London and owns and manages global Risk and Compliance frameworks for the WM Division, exercises oversight of their application and provides support to local functional teams and business areas including through the Compliance Assurance programme, training, policies, and employee compliance.

The base

You'll be based at our Schroders Business Campus near Horsham in West Sussex. That's our operations hub – home to our client servicing, product reporting and operational oversight for Europe, the Middle East and Africa.

What You'll Do

Support the Compliance Manager, WM Central Compliance in the management and further enhancement of efficient and disciplined processes, quality management and constant improvement within the WM Division functions governing core Compliance activities and systems, including:

• undertaking and supporting the daily and ad-hoc tasks associated with the operations of the Wealth Management compliance framework. This includes, but not limited to: policy and procedure co-ordination, responding to due diligence queries from 3rd parties, and team administration;
• undertaking and supporting the monitoring and surveillance programme for several areas. This includes, but is not limited to: new account opening reviews, suitability and AML file reviews, and personal account dealing pre-clearance & reporting;
• supporting with the compilation, drafting and production of WM Central Compliance management information to support the Head of Wealth Management Risk & Compliance in meeting their obligation in reporting to Group and WM Senior Management on Risk & Compliance matters;
• other ad-hoc tasks as may be required from time to time.
  
  

The Knowledge, Experience And Qualifications That Will Help

• Compliance experience (preferably in Wealth Management / Private Banking)
• Experience in conducting monitoring / surveillance activities
• Experience of working in a global team
  
  

What You'll Be Like

• Proactive, enquiring and sceptical with solid analytical skills and good judgment, to identify/propose appropriate solutions
• Good oral and written communications skills
• Ability to document processes in policies & procedures
• Management reporting skills
• Ability and skills to work effectively with and optimise the use of technology
• Ability to work independently, to prioritise and manage tasks & projects to given deadline
• Motivated, committed and enthusiastic personality.
• Strong numeracy, comprehension and analytical skills.
• Ability to prioritise, and work effectively under pressure.
• Uses initiative to solve problems.
• Strong communication skills and a consultative approach coupled with a “can-do” attitude.
• Able to work collaboratively across teams.
• Focused on continuous improvement, quality and delivery.
  
  

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 characteristics

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.