Head of Central Compliance

The Head of Central Compliance is a senior leadership role reporting to the Chief Compliance Officer. The role is responsible for leading the central compliance function and ensuring that enterprise-wide compliance frameworks, governance processes, policies, regulatory change oversight, employee compliance arrangements, and assurance activity are effective, proportionate and consistently embedded across the business globally.

Lead and develop the Central Compliance team, providing strategic direction, strong people leadership and effective prioritisation across core compliance services.

Own and oversee the employee compliance framework, including personal account dealing, gifts and entertainment, outside business interests, conflicts, attestations, training, surveillance and associated governance.

Maintain robust compliance policies, standards and procedures, ensuring they remain current, clear, risk-based and aligned to applicable regulatory requirements and business practice.

Own and operate the regulatory change framework, ensuring regulatory developments are identified, assessed, allocated, implemented, tracked and reported through appropriate governance.

Oversee the Compliance Assurance and Testing framework, including annual planning, thematic reviews, testing methodology, issue validation, management information and escalation of material findings.

Provide clear, practical and risk-based advice to senior management, business stakeholders and local Compliance teams, acting as both a trusted advisor and an effective challenge partner.

Support the CCO in the effective management of regulatory relationships, regulatory engagement, governance forums and senior management reporting.

Represent Compliance on relevant committees and ensure high-quality reporting to management committees, regulated entity boards and risk governance forums.

The role holder shall ensure that all their responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Schroders Group, taking into account the interests of key stakeholders including clients, employees, regulators, suppliers and society as a whole.

In discharging their principal responsibilities (which may be delegated as appropriate) the Head of Central Compliance shall establish appropriate governance structures for all areas under their control and will hold the following responsibilities:

• Leadership and governance: Lead the Central Compliance function, establish clear accountability for activities under the role’s control, maintain effective governance structures, oversee team performance and ensure delegated responsibilities are documented and appropriately supervised.
• Employee compliance governance and policies: Own and oversee the employee compliance framework, including personal account dealing, gifts and entertainment, outside business interests, conflicts, attestations, staff compliance surveillance, breach management and management information. Ensure related policies, standards, procedures and systems remain effective, current and consistently applied.
• Compliance policy framework: Maintain a coherent Compliance policy governance model, track policy review cycles, work with policy owners and subject matter experts, ensure regulatory obligations are reflected in policies, and support effective communication, training and implementation across relevant business areas.
• Regulatory change and oversight: Own the regulatory change framework, ensuring horizon scanning, impact assessment, allocation of ownership, implementation tracking, governance escalation and closure evidence are robust. Provide oversight of significant regulatory developments and ensure senior management receives clear analysis of impact, risk and required actions.
• Compliance assurance and testing: Own the Compliance Assurance and Testing framework, including risk-based planning, methodology, execution standards, thematic and global testing reviews, issue reporting, action tracking and validation of remediation. Ensure outputs provide meaningful insight into the effectiveness of controls and compliance with regulatory obligations.
• Training and awareness: Oversee mandatory Compliance training content, completion tracking, escalation of overdue training and targeted communications to support awareness of key policies, conduct expectations and regulatory developments.
• Reporting and management information: Produce high-quality, timely and insightful Compliance reporting for the CCO, management committees, risk committees, regulated entity boards and other governance forums, including conduct, employee compliance, regulatory change, assurance findings, thematic risks and material issues.
• Advisory and stakeholder engagement: Provide pragmatic and risk-based advice to business management, local Compliance teams and control functions; support relevant business-led projects; and help ensure internal systems and controls remain aligned to regulatory expectations.
• Regulatory and committee engagement: Support the CCO in regulatory engagement, represent Compliance on relevant committees, and ensure material issues are escalated promptly with clear analysis, recommendations and accountability for follow-up actions.

In discharging their responsibilities, the role holder shall:

• Ensure the CCO is made aware of material compliance issues, regulatory developments, assurance findings, employee compliance matters and control weaknesses requiring senior management, committee or board attention.
• Provide clear escalation, recommendations and action tracking for matters requiring remediation, governance approval or regulatory engagement.
• Provide to the CCO an annual assessment of the function’s performance against agreed objectives, including progress against assurance plans, regulatory change delivery and policy governance priorities.

Where applicable, the role holder must fulfil his/her responsibilities for their Committee Memberships:

• Group Regulatory Oversight Committee
• Any other committees as delegated by the CCO

The knowledge, experience and qualifications you need:

• Senior compliance leader with experience operating in a complex, regulated asset management or financial services environment.
• Strong knowledge of regulatory expectations relating to governance, systems and controls, conduct, conflicts, market conduct, employee compliance, policy frameworks, regulatory change and assurance.
• Proven ability to lead teams, influence senior stakeholders, drive consistent standards and operate effectively across global and local compliance structures.
• Able to balance regulatory expectations, business priorities and operational effectiveness while maintaining appropriate independence and challenge.
• Clear communicator with strong judgement, analytical capability, governance discipline and the ability to produce executive-ready reporting and recommendations.

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.