Compliance Specialist

Schroders Investment Management
New York, USA
14 May 2022
09 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Position Overview
This position requires a good understanding of US securities regulation, and, in particular the Investment Advisers Act. The successful candidate must be able to support the Compliance team in maintaining a compliance surveillance, monitoring and testing program. The successful candidate should have superior communication and drafting skills in order to draft memoranda and reports to senior management and internal governance committees.

Responsibilities may include all areas of maintaining an investment advisory, commodity trading adviser and broker-dealer compliance program including:
  • Review exception reports generated by internal compliance systems including employee personal securities transactions under the firm's Code of Ethics.
  • Review and update of firm compliance policies and the procedures relating to monitoring and testing of the implementation of those policies.
  • Assist in records production in response to regulatory, internal audit or client requests.
  • Review daily shareholding records to ascertain whether shareholding disclosure reporting requirements have been triggered.
  • Review marketing materials relating to the firm's investment capabilities, strategies and funds.
  • Analyze conflicts of interest situations, including gifts and entertainment questions, outside business activities and political contribution requests.
  • Prepare SEC, CFTC and Federal Reserve regulatory filings and ensure timely filing.
  • Prepare reports for sub-advisory relationships, institutional due diligence meetings and RFP requests.
  • Prepare broker correspondence.
  • Prepare and file firm regulatory forms including Form ADV for registered advisers and Form BD for broker-dealers.
  • Prepare registration filings for US and Canadian regulators.

Basic Qualifications
  • BA/BS Degree
  • A good understanding of US securities regulation, including the Investment Advisers Act
  • Strong communication skills, written or spoken, for both one to one and larger audiences
  • 4-6 years of experience working within an investment adviser or equivalent experience
  • Experience conducting compliance monitoring and surveillance activities

Preferred Qualifications
  • Experience in a global business whether headquartered in the US or London
  • Knowledge and experience in preparing for regulatory examinations
  • Experience with Aladdin or other order management systems helpful but not essential
  • Experience with Canadian regulatory reporting helpful but not essential
  • FINRA/NFA licenses including any of Series 3, 6 and 7 is a plus

Schroder Investment Management North America Inc. complies with the Americans with Disabilities Act of 1990.
EEO/Affirmative Action
Schroder Investment Management North America Inc. is an affirmative action-equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, religious creed, age, marital status, national origin, ancestry, sex, sexual orientation, gender identity or expression, intellectual disability, mental disability or physical disability, including, but not limited to, blindness, or protected veteran status.

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