Head of UK Compliance, Wealth Management

Overview

As Head of UK Compliance, you lead the UK Compliance function for Schroder & Co Limited and Schroder Wealth Management US Limited, ensuring a robust, risk-based compliance program. You provide independent regulatory advice, oversee reporting and surveillance, and shape governance across UK activities. You will collaborate with regulators and cross‑jurisdictional teams to manage regulatory risk and uphold group standards. This is a strategic leadership role in a global asset manager with a long history and diverse client base.

Pay / Benefits

• flexible working arrangements
• equal opportunities employer
• accommodations for neurodiversity and health needs

Responsibilities

• Provide timely, independent regulatory advice on developments, business activities, breaches, and policy development
• Implement and enhance compliance frameworks to meet regulatory requirements and Group standards
• Engage with UK regulators and ensure accurate, timely regulatory communications
• Review financial promotions for clarity and regulatory alignment
• Oversee surveillance, monitoring and thematic reviews, including issue escalation
• Maintain comprehensive compliance records (breaches, complaints, regulatory correspondence)
• Coordinate responses to Group Compliance, internal/external audits on regulatory matters
• Support regulatory reporting submissions to FCA, PRA and other bodies
• Deliver targeted compliance training and raise regulatory awareness
• Collaborate with cross‑entity Compliance teams to ensure consistency and manage cross‑jurisdictional matters
• Lead, develop and retain UK Compliance team talent with clear objectives and development plans

Key requirements

• integrity
• independence
• sound judgement
• regulatory reporting
• compliance framework design and maintenance
• surveillance and monitoring

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