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Job Description Summary Lloyds Banking Group has entered into a strategic partnership with Schroders plc to create a market leading wealth proposition.
As the Schroders Personal Wealth ACD Compliance Lead, you will use your deep knowledge of regulation to support senior management to effectively manage Regulatory compliance and to be an expert trusted advisor, overseeing a robust, integrated and effective risk control framework. You'll be responsible for supporting the business in design and implementation of appropriate controls over regulatory risk matters within SPWACD e.g. implementation of group policies, escalation of material events, advising the business on compliance and other risk matters and to foster a culture of rigorous compliance. You'll be expected to analyse, investigate and evaluate compliance risks within SPWACD, developing policy recommendations in the context of the SPW Group framework and challenging and advising the leadership and Board members of the business to ensure compliance risks are understood, mitigated and controlled.
Ensuring effective regulatory and compliance risk oversight of SPWACD, delivering, maintaining and improving compliance business wide
Ensure that the impact of regulatory and legislative change on the business is fully considered, and communicated to the business to enable them to implement compliantly risk control framework
Providing Compliance and regulatory advice and analysis in relation to relevant business initiatives, bespoke projects, transactions and investigations to ensure compliance with all relevant laws, regulations and policy
Devising and implementing a compliance system to increase awareness and promote a culture of compliance internally
Responsible for monitoring CRAF compliance and evaluating the adequacy and effectiveness of the existing controls, policies and procedures;
Support delivery of SPWACD objectives having regard to the interests of shareholders, customers and colleagues, and to the public and social responsibilities through active collaboration with other colleagues
Develops a network of external advisers and practitioners to advise SPWACD of the implications of best practice ensuring legal, regulatory and professional compliance
Support the business with regulatory horizon scanning; anticipating changes in regulatory regimes and implement the appropriate changes with our policy and procedures
Ensuring regulatory updates are issued in timely manner and in line with current regulations affecting SPWACD
Support ongoing SPWACD liaison with the Regulator, maintaining an open and positive working relationship, and ensuring high quality in any correspondence
Lead the submission of reports to the Chief Risk Officer on information gathered and analysed in order to make recommendations for improvements to the management and control of risk as appropriate
Prepare and interpret, with insight and information from multiple sources, recommendations for action to mitigate risks, which also provide a basis for delivering challenging guidance and advice to influence decisions and behaviours across SPWACD
Builds and maintains a cross-functional internal network of key stakeholders to establish understanding of the appetite for risk and how it can best be implemented
Positively influence others by demonstrating core SPW values and behaviours and, where appropriate, manage, develop and motivate colleagues to support a high performing team
Report and escalate compliance issues within SPWACD, recommending solutions as required
What you'll need to have...
Holding a Professional qualification and/or significant experience in risk management, specifically having extensive compliance and regulatory experience within an Investment Management business and evidencing:
Comprehensive knowledge and wide experience across financial services, with particular depth in investment business
Deep customer and market understanding and expertise of compliance and regulatory risk
In-depth understanding of the regulation and compliance risks associated with Authorised Corporate Director entities and associated regulations
Evidence of operating within an organisation who operate a 3 lines of defence risk framework
Experience of dealing directly with financial service regulators at an appropriately senior level
Detailed knowledge of key relevant legal, regulatory and statutory requirements
Ability to operate within a Compliance advisory capacity; using your knowledge to identify issues and guide pragmatic risk mitigation
Excellent stakeholder management skills with ability to influence at all levels, across all audiences, and build strong working relationships
Ability to provide wise, concise and pragmatic advice on regulatory requirements and their application across the business
Proven experience of challenging and providing effective governance and oversight of significant/complex businesses
We pride ourselves on the quality of the training and support you'll receive. We value your growth and happiness so, working in a small team you'll have support through coaching and development from both your line manager and a Development & Conduct Manager. Add to this that our expert admin teams are there to give you additional support with technical aspects, and you end up with a collaborative and inclusive culture.
More than this, our ethos is to provide equal opportunities to all, and to ensure we represent the communities we serve.
If like us, you're more motivated by customers than by targets and you'd thrive in a culture that is values and client led - come and talk to us. Select the Apply Now button to start the conversation.
At Lloyds Banking Group, we're driven by a clear purpose; to help Britain prosper. Across the Group, our colleagues are focused on making a difference to customers, businesses and communities.With us you'll have a key role to play in shaping the financial services of the future, whilst the scale and reach of our Group means you'll have many opportunities to learn, grow and develop.
We're focused on creating a values-led culture and are committed to building a workforce which reflects the diversity of the customers and communities we serve. Together we're building a truly inclusive workplace where all of our colleagues have the opportunity to make a real difference.
Internal Number: 6569756
About Lloyds Banking Group
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