Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Support compliance activities and manage risk projects in a fast-growing renewable investment firm.
- Company: Join Schroders Greencoat, a leader in renewable infrastructure investment.
- Benefits: Flexible working, competitive salary, and opportunities for professional growth.
- Why this job: Make a real impact in the renewable energy sector while developing your compliance expertise.
- Qualifications: Experience in compliance or risk within financial services; strong communication skills.
- Other info: Diverse and inclusive team culture with excellent career advancement opportunities.
The predicted salary is between 36000 - 60000 £ per year.
We are seeking a Risk & Compliance Associate to support the Head of Compliance in delivering robust governance, risk management and compliance activities across Schroders Greencoat and its Private Market Funds. This is an excellent opportunity for an organised, detail-oriented compliance professional who is keen to develop their expertise within a fast-growing investment manager focused on renewable infrastructure.
About Schroders: Schroders Greencoat is the leading investment manager dedicated solely to renewables and has around £9 billion of wind, solar and energy transition assets under management. This is across publicly listed vehicles and a range of private market pooled funds and mandates that invest in renewable infrastructure. On behalf of our clients, we currently own and operate assets in the UK, Europe and the US. Schroders Greencoat is now part of Schroders Capital, Schroders' private markets division.
The team: You will be part of the Compliance team, reporting to the Head of Compliance. The team supports Schroders Greencoat's listed and private funds across all compliance and regulatory matters.
What you'll do: As a Risk & Compliance Associate, your responsibilities will include:
- Assisting with risk and compliance projects and ad-hoc tasks as required, including:
- Reviewing and updating the Firm's compliance policies and procedures in line with regulatory changes
- Keeping the business informed of regulatory developments and fostering a culture of compliance
- Providing compliance advisory services across the business when needed
- Submission of FCA applications and regulatory reports
- Updating and reviewing PLC PRIIPS KIDs and EMTs
- Review AIFs
- Preparing and reviewing quarterly risk management reports for each fund
- Scoping and preparing the annual Compliance Monitoring Plan and Operational Risk Monitoring Plan
- Supporting the annual review of Risk Assessments at fund and asset level
- Coordinating business unit annual reviews of Risk Matrices
- Identifying control gaps and opportunities for improvement
- Liaising with external compliance consultants, legal counsel, company secretaries and Schroders Group as required
- Attending regulatory conferences for professional development and sharing knowledge gained
- Ensuring client assets are held in line with CASS requirements
- Preparation and submission of CMAR returns
- Supporting the MLRO with anti-money laundering (AML) activities
- Assisting investment teams with anti-bribery and counterparty due diligence for new investments
- Reviewing service provider AML frameworks for compliance
- Maintaining permanent insider lists for Schroders Greencoat's listed funds
- Managing the Firm's Restricted List
- Reviewing marketing materials for compliance with regulatory requirements
- Maintaining registers: personal account dealing, Gifts & Entertainment, Business Interests, Government Contacts, and external appointments
- Preparing attestations and workpapers for regulatory, compliance and service provider audits for each fund
- Promoting compliance with internal policies and procedures
- Managing regulatory and AIC reporting requirements for funds
- Supporting completion of compliance and risk due diligence questionnaires and investor queries
- Supporting business development and fund set-up activities as required
- Providing ongoing compliance training and ensuring all staff complete mandatory training
- Supporting risk & compliance function on regulatory development projects
- Producing MI for relevant Committees and Boards
- Overseeing ESG regulatory implementation
- Organising annual compliance/SMCR declarations process
- Maintaining the firm's breach register
- Supporting other compliance and risk-related projects as required
The knowledge, experience and qualifications you need:
- Previous experience in a compliance, risk, or regulatory support role within financial services
- Practical understanding of FCA and UK regulatory requirements
- Excellent organisational skills and attention to detail
- Strong written and verbal communication skills
The knowledge, experience and qualifications that will help:
- Progress towards, or completion of, a relevant compliance qualification (e.g. ICA, CISI)
- Experience working with listed and/or private funds
- Interest in ESG, renewables or sustainable finance
What you'll be like:
- Proactive, adaptable and solutions-focused
- Collaborative and enjoy working within a small, diverse team
- Open to learning and developing your skills
- Able to manage multiple priorities and deadlines
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.
Risk and Compliance Associate in London employer: Schroders UK
Contact Detail:
Schroders UK Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Risk and Compliance Associate in London
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect with professionals on LinkedIn. You never know who might have the inside scoop on job openings or can refer you directly.
✨Tip Number 2
Prepare for interviews by researching the company and its values. Understand their approach to risk and compliance, especially in renewable infrastructure. Tailor your answers to show how your skills align with their mission.
✨Tip Number 3
Practice common interview questions related to compliance and risk management. Use the STAR method (Situation, Task, Action, Result) to structure your responses and highlight your experience effectively.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re genuinely interested in joining our team at Schroders Greencoat.
We think you need these skills to ace Risk and Compliance Associate in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Risk & Compliance Associate role. Highlight your relevant experience in compliance, risk management, and any specific projects that align with what we do at Schroders Greencoat.
Showcase Your Skills: We want to see your organisational skills and attention to detail shine through. Use clear examples from your past roles to demonstrate how you've successfully managed compliance tasks or projects.
Be Authentic: Let your personality come through in your application. We value collaboration and a proactive attitude, so don’t hesitate to share your passion for renewable energy and compliance in your writing.
Apply Through Our Website: For the best chance of success, make sure you apply directly through our website. This way, your application will be seen by the right people, and you'll be one step closer to joining our team!
How to prepare for a job interview at Schroders UK
✨Know Your Regulations
Make sure you brush up on FCA and UK regulatory requirements before the interview. Being able to discuss these confidently will show that you're not just familiar with compliance but also genuinely interested in the field.
✨Showcase Your Organisational Skills
As a Risk & Compliance Associate, attention to detail is key. Prepare examples from your past experiences where your organisational skills made a difference, whether it was managing compliance documents or coordinating projects.
✨Demonstrate Your Proactivity
Be ready to share instances where you took the initiative to improve compliance processes or address potential risks. This will highlight your proactive nature and solutions-focused mindset, which are crucial for this role.
✨Engage with ESG Topics
Since the role involves renewable infrastructure, showing your interest in ESG (Environmental, Social, and Governance) issues can set you apart. Familiarise yourself with current trends in sustainable finance and be prepared to discuss how they relate to compliance.
