Compliance Officer at Schroders, Southend-on-Sea, East of England in Southend-on-Sea

Company Overview Schroders is a global investment management company with a heritage of over 200 years. We manage assets for institutions, intermediaries, and individuals across the world, with a focus on delivering superior investment performance and exceptional client service. Our Southend-on-Sea office is a key hub for our UK operations, offering a dynamic and collaborative environment for professionals looking to make a real impact in the financial services industry. Key Responsibilities For Compliance Officer As a Compliance Officer at Schroders in Southend-on-Sea, you will play a crucial role in ensuring the company adheres to all relevant legal and regulatory requirements. Your primary responsibilities will include: * Monitoring and assessing the effectiveness of Schroders' compliance framework, identifying potential areas of risk and implementing appropriate controls. * Providing advice and guidance to the business on compliance matters, ensuring that all activities are conducted in accordance with relevant laws, regulations, and internal policies. * Conducting regular compliance audits and reviews, identifying any breaches or potential breaches of regulatory requirements and implementing corrective actions. * Liaising with relevant regulatory bodies, including the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA), to ensure Schroders remains compliant with all regulatory obligations. * Developing and maintaining up-to-date compliance policies and procedures, ensuring they are aligned with industry best practices and evolving regulatory requirements. * Providing training and awareness programmes to staff on compliance matters, promoting a culture of compliance throughout the organisation. * Managing and responding to compliance-related queries and concerns from internal and external stakeholders. * Keeping abreast of developments in relevant legislation and regulations, ensuring Schroders remains compliant with all applicable requirements. Required Qualifications * A degree in a relevant field such as law, finance, or business administration. * Minimum of 3 years' experience in a compliance role within the financial services industry. * In-depth knowledge of UK financial services regulations, including the FCA Handbook and PRA rules. * Strong analytical and problem-solving skills, with the ability to identify and mitigate compliance risks. * Excellent communication and interpersonal skills, with the ability to build strong relationships with internal and external stakeholders. * Ability to work independently and as part of a team, with a strong sense of responsibility and attention to detail. Desired Skills * Experience of working in a similar role within an asset management firm. * Knowledge of AML/KYC regulations and procedures. * Experience of conducting compliance audits and reviews. * Professional qualifications such as ICA or CFA would be advantageous. Compensation & Benefits Schroders offers a competitive salary package commensurate with experience, with a range of £40,000 - £55,000 per annum. In addition to your salary, you will be eligible for a comprehensive benefits package, including: * 25 days' annual leave * Pension scheme * Life assurance * Private medical insurance * Employee assistance programme * Opportunities for professional development and career progression How to Apply If you are a motivated and experienced compliance professional looking for a challenging and rewarding role with a leading global investment manager, please submit your CV and covering letter outlining your suitability for the position to the Schroders careers website. Qualifications: CeMAP (for mortgage advisors) Skills: Customer Relationship Management, Sales, Financial Products