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ACD Risk & Compliance Officer

Schroders Personal Wealth
London, United Kingdom
GBP64313 - GBP70644 per annum + pension,25 days holiday,4% flex fund
Closing date
Sep 30, 2023

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Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
ACD Risk & Compliance Officer

As an ACD Risk & Compliance Officer, you are an expert in the provision of regulatory and risk management related advice. You thrive in a position of high responsibility, where you can manage many key and complex controls and governance processes without supervision or direction.

At Schroders Personal Wealth, 'We are responsible' - we take accountability to get things right for our clients. You will be key to ensuring that we are acting responsibly, supporting the execution of activities in the Risk & Compliance function.

As our next ACD Risk & Compliance Officer, you will represent the function at all levels across the firm, working directly and closely with the Board and other Senior Managers. In addition, you will regularly act as a deputy for the ACD's Head of Risk and Compliance. With us, you will have the opportunity to be the function's subject expert in many specialist and complex areas and own the implementation of ACD's Operational Risk Framework.

Your day to day activities will include:
• Business monitoring.
• Regulatory analysis.
• Governance Framework reporting.
• The provision of regulatory and risk management related advice to
• Review of marketing material.
• Representation of the Risk & Compliance at Governance meetings.
• Interaction with third parties, including the Regulator, on behalf of the
Risk & Compliance function and the Firms.
• Implementation and the continuing development of the risk management
oversight and reporting framework.
• The development of operational and investment related policy.
• Management of external and internal audits (as required).
• Support of the Group risk management framework and processes on
behalf of the entity.
• Execution of the agreed Risk & Compliance training strategy; including
the selection of any external training provider.
• Provision of guidance and advice on sustainability and wider ESG related
issues and becoming the function's SME on this over time.
• Support of Investment manager oversight processes.

Qualifications / Experience:
  • A deep understanding of UK UCITS funds gained through Compliance or Operational roles.
  • Five years' Risk and Compliance function experience in an ACD firm.
  • A full understanding of the UK regulatory environment.
  • Demonstrable expertise in derivative instruments and associated risk measures.
  • A deep understanding of investment principles and investment types and portfolio liquidity. Where possible, supported through external examination. (IMC as minimum)
  • Expertise in the operational risk environment in which UK ACD and DFM providers operate.
  • A good understanding of the prudential and capital requirements impacting investment firms.
  • An in-depth knowledge of sustainable investment issues demonstrated through external examinations. Preferred: Certificate in ESG Investing/Certificate in Climate and Investing.
  • An in depth understanding of value assessment (for funds) and Consumer Duty.

The Benefits and Perks...

In addition to a competitive salary, you'll get:
  • an additional 4% cash allowance that can fund a variety of optional benefits including: Paid Sabbatical Leave, Dental Cover, Critical Illness Insurance, Gym membership or an electric/ULEV car
  • 25 days holiday plus bank holidays (with the option to buy 5 extra days)
  • company paid for Private Medical Insurance, Life Insurance and Health Screening
  • a matched pension contribution from us of up to 15% of your base pay (if you contribute 6%)
  • access to a range of retail discounts
  • access to free financial advice
  • an annual car allowance of up to £9,000 (if your role requires you to drive more than 10,000 business a year)
  • an annual bonus (subject to company/individual performance and minimum 3 months service)

The Next Step...

Click on apply and complete your application. If you have any questions, please contact

You belong here...

At SPW, we embrace individuality and encourage diversity of identity, experience, and thought.

We actively strive for inclusive behaviours across our company and our work, including making appropriate adjustments for disabilities, long-term health conditions or neurodiversities to ensure equal opportunities for all.

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