Compliance Manager

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Compliance
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Who we’re looking for

 

We manage Schroders’ relationship with its financial regulators and play an advisory role to colleagues on complex regulatory requirements. In addition, we’re responsible for compliance monitoring and proactively mitigate any regulatory and reputational risks. 

  

We’re looking for a Compliance Manager with the relevant experience to analyse the impact on Schroders of any new regulations; advising business units on the implication of new regulations and tracking the business units’ implementation of processes to meet the regulations. This includes preparing training courses; performing risk-based compliance monitoring tests, performing thematic reviews and trade surveillance.  

 

You’ll be busy managing notifications, reports and responses to regulators’ enquiries. You’ll also review marketing materials; visit and help review outsourced service providers. Handle substantial shareholding disclosure; assessing compliance with regulatory investment restrictions, advising business units to mitigate the firm’s financial crime risk and performing monitoring on financial crime related issues 

 

 

About Schroders

  

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 4,000 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. 

 

 

The Team 

 

We’re principally concerned with the regulatory requirements and expectations of the overseeing of policies & practices to address regulatory requirements set by the Securities and Futures Commission (SFC), and UK regulations where Schroders Hong Kong is lead regulated. We are part of the Hong Kong based compliance function and report into the Head of Compliance, that primarily supports Schroders’ business in Hong Kong and Mainland China.  

 

We work collaboratively with our colleagues in other business areas, including Fund Managers, Analysts, Distribution, Marketing, Operations, Legal, Finance, HR and Risk to address regulatory issues and effective management which is now so significant to the success and prosperity of a major financial services business. 

 

 

 The knowledge, experience and qualifications you need 

  •  At least 6 years’ work experience with asset managers in the areas of Compliance, Operational Risk or Audit, or with the regulators.
  • Strong knowledge of the SFC Code of Conduct, Fund Manager Code of Conduct and Code on Unit Trusts and Mutual Funds. 
  • Have experience in handling matters ranging from distribution/marketing compliance, regulatory advisory and investment compliance. 

 

 

What you’ll be like 

  • Self-motivated and enthusiastic
  • A critical thinker who’s able to look at things from different angles
  • Great at unpicking a problem, from start to end, own and deliver the solution
  • Able to work under pressure, on several priorities at once, and with tight deadlines •
  • Great at working with other people especially with key business stakeholders, sharing and communicating decisions
  • Keen to improve what we do for our clients and how we do it
  • Able to work independently and within a team
  • Able to speak fluent English and Chinese as you’ll need to review Chinese marketing materials.



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