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Compliance
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As the Compliance Analyst at Schroders, you are part of the global Compliance, Legal and Governance (CLG) community responsible for managing Schroders’ relationship with its financial regulators, provide regulatory advisory, compliance monitoring and managing regulatory and reputational risks. The Hong Kong team primarily supports Schroders’ business in Hong Kong and Mainland China. The team oversees policies and practice to address regulatory requirements set by the Securities and Futures Commission and UK regulations where Schroders is lead regulated.

 

Key Responsibilities:

  • Collaborate with all areas of the business, including Fund Managers, Analysts, Distribution, Marketing, Operations, Legal, Finance, HR and Risk in addressing regulatory issues and effective management.
  • Review of marketing materials from a compliance perspective
  • Undertake risk-based compliance monitoring or perform special monitoring reviews as agreed from time to time with specific business areas, including the identification and reporting of potential regulatory issues
  • Undertake market abuse monitoring
  • Undertake monitoring on substantial shareholding disclosure and large reportable positions, including the provision of information to other Schroder offices and Group Compliance
  • Provide advice to staff in relation to the Group Personal Account Dealing Policy and assist staff in making securities declaration / making preclearance request in the system.
  • Monitor the implementation of issues highlighted in external audit, internal audit, compliance monitoring and regulatory reports.
  • Provide advisory support and research to business in areas such as licensing. Prepare license applications, follow up on the applications and prepare submissions on notifiable events per licensing regulations.
  • AML related – perform sanctions screening, transaction monitoring and advise staff on Group’s AML related policies and customer due diligence requirements
  • Work with Product Development team and Legal to validate accuracy of disclosure in offering documents of Schroder funds
  • Prepare reports for the local regulators and Group Compliance

To be successful in this role you should possess the following requisites:

  • Degree graduate in Accounting, Economics, Business Administration or Finance.
  • At least 3-4 years of relevant working experience in audit/compliance role. Prior work experience within asset management compliance is an advantage.
  • A keen interest in the business of investment management and legal, regulatory and risk management environment in which it is conducted
  • Strong interpersonal skill with the ability to establish and maintain effective business relationships with key stakeholders
  • Solid analytical skills with attention to details
  • Ability to work under pressure and in a fast paced environment
  • Able to work well independently and within a team
  • Proficient in both written spoken English.
  • Ability to read and speak in Mandarin as this role would require to review Chinese marketing materials.

As above

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📁 Compliance