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The Regulatory risk framework, policies, procedures & training unit sits within the Central Compliance team as part of Global Compliance. This newly created team will be responsible for building, maintaining and operating our global Compliance frameworks such as the risk and control assessments (RCA), the Compliance training framework, the Group Conduct Risk framework and the Compliance Charter. The team also coordinates and ensures ongoing consistency of Compliance-owned policies and ensures that Compliance procedures are in place and maintained. The team has a global remit and works closely with local and regional teams, along with varied business representatives where appropriate.
We are looking for an experienced candidate with broad capability to support variable Compliance work. You will need to undertake a wholesale review of the existing Compliance RCAs and implement identified changes to create regularly updated document that can be used to inform other key Compliance activities such as the planning of thematic monitoring. Another focus of the role will be to design and lead the rollout of a global compliance training framework and to ensure Global Compliance is supported by fit for purpose policies and procedures. In addition to this, you are likely to focus on a significant number of different issues/projects over time in different compliance subject matter areas. There is scope for significant personal development through varied experience and exposure.
The role is also responsible for and is supported by a member of the Compliance Graduate scheme and this role is expected to undertake mentoring and guiding of the individuals on that scheme as they progress and rotate in their placements.
Essential skills, experience and qualifications:
- Very able graduate with strong academic achievement and 5+ years of direct financial services or applicable professional services experience - Experience of framework, policy and procedure creation and maintenance - Initiative and self-confidence; able to apply themselves successfully to diverse projects and topics. - Ability to demonstrate and evidence understanding of, interest in and strong commitment to Compliance and essential underlying values - Advanced financial sector knowledge and interest - Commitment to personal development
- Relevant Asset Management experience (but personal capabilities are more important) - Relevant professional training (e.g. Accounting/Audit, Legal, Compliance) - Background knowledge of conduct risk and risk and control frameworks - Experience of design and implementation of training frameworks
Internal Number: 5850306
About Schroders Investment Management
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