Head of UK Compliance, Wealth Management

Who we're looking for

We're looking for a Head of UK Compliance to join our Wealth Management division.  Reporting to the Chief Compliance Officer, Wealth Management, you will be accountable for leading the UK Compliance function across the UK Companies, providing clear, independent and commercially informed compliance advice, and supporting the effective identification, assessment and management of regulatory risk. 

About us

Schroders is a global investment manager which provides active asset management, wealth management and investment solutions. We aim to provide excellent investment performance to clients through active management. We serve a diverse client base that includes pension schemes, insurance companies, sovereign wealth funds, endowments, foundations, high net worth individuals, family offices, as well as end clients through partnerships with distributors, financial advisers, and online platforms.

Established in 1804, we have around 5,500 people across 36 global locations. Schroders' success can be attributed to its diversified business model, spanning different asset classes, client types and geographies.

What you'll do

The Head of UK Compliance is responsible for leading the delivery of a robust, risk-based and forward-looking compliance framework for the UK Companies. He / She is responsible to lead the day-to-day activities of the UK Compliance function, including advisory support, regulatory reporting, disclosures, surveillance and monitoring, to assist Schroder & Co Limited and Schroder Wealth Management US Limited (the “UK Companies”) in meeting the regulatory standards expected by clients, regulators and the Schroders Group. 

Key responsibilities:

The Head of UK Compliance shall discharge all responsibilities with integrity, independence, sound judgement and transparency, promoting the long-term success of Wealth Management and the Schroders Group while ensuring that regulatory risks are identified, assessed, escalated and managed in a proportionate and timely manner. 

In discharging these responsibilities, the Head of UK Compliance shall establish and maintain appropriate governance, oversight and operating arrangements for all areas within his/her remit and shall: 

• Provide timely, pragmatic and independent advice on regulatory developments, day-to-day business activities, projects, complaints, breaches, new products and services, and the development of internal policies and procedures; 
• Implement, oversee and continuously enhance compliance frameworks supporting the UK Companies’ adherence to applicable regulatory requirements, the Group’s risk management framework and relevant policies; 
• Support effective and constructive engagement with UK regulators in respect of the UK Companies, ensuring that regulatory communications are accurate, timely and appropriately escalated; 
• Review financial promotions and marketing materials from a compliance perspective, ensuring that communications are clear, fair, not misleading and aligned with applicable regulatory expectations; 
• Oversee regular surveillance, monitoring and thematic reviews, including the identification, assessment, reporting and escalation of potential regulatory issues; 
• Maintain accurate and complete compliance records, including those relating to complaints, breaches, regulatory correspondence, financial promotions and monitoring activity; 
• Review, maintain and support the implementation of internal policies and procedures, ensuring they remain current, proportionate and aligned with applicable regulatory requirements and Group standards; 
• Coordinate and respond to requests, reviews and findings from Group Compliance, internal audit, external audit and other assurance functions in relation to regulatory compliance matters; 
• Support the preparation and submission of regulatory reporting to the FCA, PRA, other regulatory bodies and Group Compliance, ensuring the quality, accuracy and timeliness of submissions; 
• Provide, or support the provision of, targeted compliance training and awareness activities to promote effective understanding of regulatory obligations and expected standards of conduct; 
• Collaborate with Compliance teams across other Wealth Management entities and with Group Compliance to promote consistency, share insight and support effective management of cross-jurisdictional regulatory matters; and 
• Lead, manage, retain and develop key talent within the UK Compliance team, ensuring clear objectives, effective performance management, succession planning and individual development plans are in place. 

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. For more information, please visit our FAQs.