Investment Compliance Analyst

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Team Overview

The UK Investment Compliance team is responsible for compliance services provided in relation to the investment and trading activities undertaken at Schroders in the UK. These services include:


• Monitoring – Undertaking on-going desk based monitoring of trading and investment activities and providing an appropriate level of challenge and oversight to the investment floor with particular reference to best execution, conflicts of interest and market abuse

• Advice – Providing advice as appropriate, and specifically in relation to investment and borrowing powers permitted by regulations, regulatory changes and queries in connection with trade execution and market abuse

• Training – Providing initial and on-going training to investment and trading employees in respect of group market abuse and trade execution policies and regulations

• Oversight – Attending and contributing to risk and oversight committees and developing improved oversight controls in collaboration with business areas


The team also works closely with Investment Compliance teams globally to co-ordinate group compliance activities and policies as appropriate. In addition, it supports wider initiatives within the Compliance department and supports areas of heightened focus, whether as a result of regulatory change or wider business change.


Role Overview

We are looking for a candidate with broad capability to support the variable compliance work performed by the team, whether as part of business as usual activities, or as a result of business change (M&A, organic or otherwise), regulatory change, identified compliance issue or otherwise, under the supervision/direction of Compliance or other Compliance and Legal Managers.


The primary responsibility of the role is the timely and effective performance of desk based monitoring activities. In this role a methodical and thorough approach is important, and the willingness to interact with investment staff on a professional basis, providing reasonable and appropriate challenge where required. There is scope for significant personal development through varied experience and exposure.


Essential skills, experience and qualifications:

- Relevant Compliance/ Asset Management experience

- Graduate level academic achievement

- Self motivated. Suggest improvements to models and approaches

- Strong all round analytical, verbal and numerical skills

- Familiarity with Excel, Tableau and Alteryx and a willingness to work with technology

- Initiative and self-confidence; able to apply themselves successfully to diverse projects and topics.

- Ability to demonstrate and evidence understanding of, interest in and strong commitment to Compliance and essential underlying values

- Good basic financial sector and investment management knowledge and interest

- Flexibility and mobility, potentially globally, on a short term basis

- Commitment to personal development



- Relevant professional training (e.g. Accounting/Audit, Legal, Compliance)

- Major European or Asian languages



- Structured and unstructured training provided, including relevant professional examination courses.

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