Skip to content
CV Rocket
Get started
How it worksThe enginePricingBlogContactSign in

Open nowPosted yesterday

Compliance Manager

Schroders Referral121 open roles

Where
London, United Kingdom
Get the CV for this job

From $25 per CV, paid once. No subscription.

Your applicationOpen nowCompliance ManagerSchroders Referral · London, United Kingdom

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on Schroders Referral's own form.

The reply lands in your private mailbox

3×more interviews than doing it yourself with ChatGPT.

The clock on this job

Early applications get read.

13.5% of postings close within 7 days. Measured by our own scanner across the market. Schroders Referral postings stay open a median of 13 days.

Share of postings closed within
  1. 2.3%1 day
  2. 4.6%3 days
  3. 13.5%7 days
  4. 21.8%14 days
  5. 36.6%30 days
  6. 58.9%60 days
This job: posted yesterday

Schroders Referral median: 13 days open

The posting

Job Description

Who we’re looking for

The Compliance Manager reports directly to the Head of Wealth Management, UK who has delegated to him/her responsibility for the matters set out in this job description.

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.

The base

We moved into our new HQ in the City of London in 2018. We’re close to our clients, in the heart of the UK’s financial centre and we have everything we need to work flexibly.

What you'll do

  • Provide day-to-day regulatory advice to front office, investment management, operations and support functions.
  • Advise on regulatory and conduct requirements as they apply to wealth management activities, including client categorisation, appropriateness, conflicts of interest and inducements, and gifts & entertainment etc.
  • Provide regulatory input into complaints and potential conduct issues and investigations.
  • Provide compliance input into projects, business initiatives and changes to existing propositions.
  • Conduct suitability file reviews and review the quality of suitability assessments.
  • Review holdings in complex, illiquid or higher-risk investments.
  • Review and approve more complex financial promotions.
  • Own or deliver a significant proportion of the Compliance Monitoring Programme.
  • Other similar compliance support work as required from time to time to support the work of the Wealth Management Compliance team.

The knowledge, experience and qualifications you need

  • Experience in Wealth Management compliance and the application of evolving regulatory expectations
  • Good knowledge and understanding of the applicable UK regulatory framework
  • Strong ability to work in a team both within Compliance and also the wider Wealth Management business
  • Strong ability to interpret regulatory requirements and expectations and translate them into practical advice for the business
  • Well-organised, self motivated and thorough
  • Ability to liaise with and present to all levels including senior management
  • Good verbal, written communication and influencing skills
  • Monitoring and surveillance experience.
  • Experience of or knowledge in Wealth Management products and services
  • A knowledge of SEC regulations a bonus.

The knowledge, experience and qualifications that’ll help

  • Team skills: A team player who displays a high degree of interpersonal skills, tact and diplomacy with all constituencies. Possesses strong collaboration skills with peers and colleagues within and outside the Compliance, Risk, Legal and Governance group.
  • Intellectual flexibility and project management: Ability to quickly grasp and solve problems and to prioritise multiple competing projects and initiatives and focus resources in line with such priorities.
  • Astute at proactively identifying and shaping new industry, product or technical knowledge which will be advantageous to the business and awareness of current and evolving customer needs. Possesses a strong sense of urgency and an exceptional work ethic and is accustomed to a high degree of rigour, accuracy, detail and complexity.
  • Business Acumen: Has the desire and capability to get involved in the details of key business issues. Operates collaboratively across business teams and can meaningfully translate corporate strategy to the Compliance team.

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.

About Us

We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

We have around 6,000 people on six continents. 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.

From $25, paid onceGet the CV for this job

What happens when you press

One press. We do the rest.

  1. A CV for this posting

    Written against Schroders Referral's own wording, from every piece of relevant proof in your profile.

  2. 25 readers review it

    Recruiter, hiring manager, skeptic and more read every draft, round after round. You get the best round.

    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on Schroders Referral's form

    Our application engine gets through the hardest forms there are. Where a question needs you, AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

    An application in CV Rocket: every answer filled in on the employer's form.

  4. Every reply, sorted

    Schroders Referral's answer lands in your private mailbox, and we classify it on arrival: interview, question, rejection.

    The CV Rocket inbox: each employer reply classified as an interview, an action or a rejection.

  5. Reply with AI

    AI helps you write the email, checks it and sends it. We show you whether the recruiter read it.

  6. The interview in your calendar

    Full integration with your calendar. The invitation goes straight in.

    An interview invitation in the CV Rocket inbox, added to the candidate's calendar.
Get the CV for this job

From $25 per CV, paid once. No subscription.

Why it works

3×

more interviews than doing it yourself with ChatGPT.

ChatGPT writes a CV and never learns what happened to it. We see every reply. For each CV we know:

  • How it was written, and how the review scored it
  • When we applied, and how long after the posting went up
  • Which posting, which company, which city
  • Who got the interview, and who heard nothing

That is how we know which CVs get called.

Get the CV for this job

From $25 per CV, paid once. No subscription.

The numbers game

More applications. More interviews.

Every application goes out with its own CV, written for that posting and paid once. Send enough of them and the law of large numbers finds you the job.

Get the CV for this job
By hand5–10
With CV Rocket100
applications a day

Nearby

Live postings like this one

Same employer first, then the same role elsewhere.

Before you press

Straight answers

Get the CV for this job

From $25 per CV, paid once. No subscription.

What if my background isn't good enough?

We make the most of the background you have. The CV uses every piece of relevant proof your profile holds, and one of the 25 readers reads your whole profile and flags what the CV left out.

Do you really apply for me?

Yes, on the employer's own form, the hardest ones included. Where a question needs you, you answer it right there and AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

Is it a subscription?

No. You pay once per CV, from $25. Every application goes out with its own CV, written for that posting.

One job. One CV.
Paid once.

Pick the posting you want. We write for it, apply for you and catch the reply.

Get the CV for this job

From $25 per CV, paid once. No subscription.