CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
The Compliance Manager reports directly to the Head of UK Compliance, Wealth Management who has delegated to him/her responsibility for the matters set out in this job description.
The principle responsibilities are:
- To undertake daily responsibilities within the Compliance department, including advisory, reporting, disclosure, surveillance and monitoring, thereby assisting the Company to meet the regulatory standards expected by our clients and required by local regulators.
Discharge of Responsibilities
The Compliance Manager shall ensure that all his/her responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Wealth Management Division and the Schroder Group. In discharging his/her responsibilities the Compliance Manager shall: - Assist in the provision of advice on regulatory changes, day-to-day activities, specified projects, complaints, breaches, new products and services, and development of internal policies and procedures; - Undertake specified regular compliance reviews (e.g. client file suitability) and occasional special thematic reviews, including the identification and reporting of potential regulatory issues; - Assist in the implementation of the Compliance Monitoring & Surveillance Programme; - Review of marketing materials from a compliance perspective; - Maintain required compliance records, including complaints, breaches and financial promotions; - Assist the review and process updates/amendments to internal policies and procedures; - Assist in the maintenance of the Senior Manger and Certification Regime framework; - Assist in responding to requests and review findings from Group Compliance and external or internal auditors on regulatory compliance matters; - Assist in the preparation of regulatory reporting to the PRA, FCA and Group Compliance; - Provide or assist in the provision of training on Compliance matters; and - Liaise as necessary with members of the Compliance teams across the Company, the Wealth Management Division and Group Compliance.
In discharging his responsibilities the Compliance Manager shall:
- Ensure that the Head of UK Compliance is made aware of any issues, in a timely manner, which in the Compliance Manager's view are material and which should be communicated to the Head of UK Compliance, the Head of Compliance, Wealth Management, the UK Management Committee, the CEO, the Chairman and/or the Board.
- Provide to the Head of UK Compliance an annual assessment of his own performance against objectives agreed with the Head of UK Compliance.