Regulatory Affairs and Quality in London

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:

• 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.
• 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.
• 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.
• 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.
• 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.
• 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.
• 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.
• 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.
• 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.
• 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
• Group Policy Committee
• Any other committees as delegated by the CCO

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.

We recognise potential, whoever you are. Our purpose is to deliver excellent investment performance to clients through active management. We believe diverse perspectives and an inclusive culture help us make better decisions and achieve better outcomes for our clients. That's why inclusion is a strategic priority for us, and 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.

We will consider flexible working arrangements for all roles and provide reasonable accommodations to support applicants and employees, including those with neurodiversity, disability, or physical and mental health needs. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. 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.