Compliance Specialist in City of London

We are looking for a Compliance Specialist in the Public Markets area who will be reporting into one of the 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 support 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.

What you’ll do:

• Daily monitoring of substantial shareholding positions approaching disclosure thresholds and ensuring all disclosures are filed in a timely manner.
• Undertaking ongoing 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.

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 prioritise multiple competing projects and initiatives.
• Astute at proactively identifying and shaping new industry, product or technical knowledge which will be advantageous to the business.
• 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.