Schroders on cord

Schroders

Head of Central Compliance

External position
London, UK
Hiring internally for Schroders?
Finance · Investment
Taking care of what matters most to you.
Posted
a month ago
Checked
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4 hours ago

Skills & Experience

Job roles: Risk and Compliance
Experience level: Senior, Lead, Leadership
Core skills considered: Stakeholder Management, Communication software
Other skills considered: Client relations

Logistics

Base salary: Undisclosed
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Employment type: Permanent
Remote working: Hybrid
Visa sponsorship: Not available

Job Description

The Head of Central Compliance is a senior leadership role reporting to the Chief Compliance Officer. The role is responsible for leading the central compliance function and ensuring that enterprise-wide compliance frameworks, governance processes, policies, regulatory change oversight, employee compliance arrangements, and assurance activity are effective, proportionate and consistently embedded across the business globally.


Responsibilities

  • Lead and develop the Central Compliance team, providing strategic direction, strong people leadership and effective prioritisation across core compliance services.
  • Own and oversee the employee compliance framework, including personal account dealing, gifts and entertainment, outside business interests, conflicts, attestations, training, surveillance and associated governance.
  • Maintain robust compliance policies, standards and procedures, ensuring they remain current, clear, risk-based and aligned to applicable regulatory requirements and business practice.
  • Own and operate the regulatory change framework, ensuring regulatory developments are identified, assessed, allocated, implemented, tracked and reported through appropriate governance.
  • Oversee the Compliance Assurance and Testing framework, including annual planning, thematic reviews, testing methodology, issue validation, management information and escalation of material findings.
  • Provide clear, practical and risk-based advice to senior management, business stakeholders and local Compliance teams, acting as both a trusted advisor and an effective challenge partner.
  • Support the CCO in the effective management of regulatory relationships, regulatory engagement, governance forums and senior management reporting.
  • Represent Compliance on relevant committees and ensure high-quality reporting to management committees, regulated entity boards and risk governance forums.

The role holder shall ensure that all their responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Schroders Group, taking into account the interests of key stakeholders including clients, employees, regulators, suppliers and society as a whole.

In discharging their principal responsibilities (which may be delegated as appropriate) the Head of Central Compliance shall establish appropriate governance structures for all areas under their control and will hold the following responsibilities:


Leadership and governance: Lead the Central Compliance function, establish clear accountability for activities under the role's control, maintain effective governance structures, oversee team performance and ensure delegated responsibilities are documented and appropriately supervised.


Employee compliance governance and policies: Own and oversee the employee compliance framework, including personal account dealing, gifts and entertainment, outside business interests, conflicts, attestations, staff compliance surveillance, breach management and management information. Ensure related policies, standards, procedures and systems remain effective, current and consistently applied.


Compliance policy framework: Maintain a coherent Compliance policy governance model, track policy review cycles, work with policy owners and subject matter experts, ensure regulatory obligations are reflected in policies, and support effective communication, training and implementation across relevant business areas.


Regulatory change and oversight: Own the regulatory change framework, ensuring horizon scanning, impact assessment, allocation of ownership, implementation tracking, governance escalation and closure evidence are robust. Provide oversight of significant regulatory developments and ensure senior management receives clear analysis of impact, risk and required actions.


Compliance assurance and testing: Own the Compliance Assurance and Testing framework, including risk-based planning, methodology, execution standards, thematic and global testing reviews, issue reporting, action tracking and validation of remediation. Ensure outputs provide meaningful insight into the effectiveness of controls and compliance with regulatory obligations.


Training and awareness: Oversee mandatory Compliance training content, completion tracking, escalation of overdue training and targeted communications to support awareness of key policies, conduct expectations and regulatory developments.


Reporting and management information: Produce high-quality, timely and insightful Compliance reporting for the CCO, management committees, risk committees, regulated entity boards and other governance forums, including conduct, employee compliance, regulatory change, assurance findings, thematic risks and material issues.


Advisory and stakeholder engagement: Provide pragmatic and risk-based advice to business management, local Compliance teams and control functions; support relevant business-led projects; and help ensure internal systems and controls remain aligned to regulatory expectations.


Regulatory and committee engagement: Support the CCO in regulatory engagement, represent Compliance on relevant committees, and ensure material issues are escalated promptly with clear analysis, recommendations and accountability for follow-up actions.

In discharging their responsibilities, the role holder shall:


Responsibilities

  • Ensure the CCO is made aware of material compliance issues, regulatory developments, assurance findings, employee compliance matters and control weaknesses requiring senior management, committee or board attention.
  • Provide clear escalation, recommendations and action tracking for matters requiring remediation, governance approval or regulatory engagement.
  • Provide to the CCO an annual assessment of the function's performance against agreed objectives, including progress against assurance plans, regulatory change delivery and policy governance priorities.

The knowledge, experience and qualifications you need

  • Senior compliance leader with experience operating in a complex, regulated asset management or financial services environment.
  • Strong knowledge of regulatory expectations relating to governance, systems and controls, conduct, conflicts, market conduct, employee compliance, policy frameworks, regulatory change and assurance.
  • Proven ability to lead teams, influence senior stakeholders, drive consistent standards and operate effectively across global and local compliance structures.
  • Able to balance regulatory expectations, business priorities and operational effectiveness while maintaining appropriate independence and challenge.
  • Clear communicator with strong judgement, analytical capability, governance discipline and the ability to produce executive-ready reporting and recommendations.
Head of Central Compliance at Schroders
Position posted a month ago

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Starling Bank on cord

Starling Bank

Full Stack Engineer (ML Ops)

London, UK
FinTech · Banking · Finance
A better bank for everyone
Active
over 6 months ago
Responds to
0% of requests
Responds in
1h 55m
Requests
7 pending

Skills & Experience

Job roles: Full Stack
Experience level: Mid, Senior
Core skills considered: Java, React, Redux, AWS, JavaScript

Logistics

Base salary: £70K - £110K
Employment type: Permanent
Remote working: Hybrid (up to 2 remote days p/w)
Visa sponsorship: Not available

Job Description

Starling is the UK’s first and leading digital bank on a mission to fix banking! Our vision is fast technology, fair service, and honest values. All at the tap of a phone, all the time.

Starling is the UK’s first and leading digital bank on a mission to fix banking! We built a new kind of bank because we knew technology had the power to help people save, spend and manage their money in a new and transformative way.

We’re a fully licensed UK bank with the culture and spirit of a fast-moving, disruptive tech company. We’re a bank, but better: fairer, easier to use and designed to demystify money for everyone. We employ more than 3,000 people across our London, Southampton, Cardiff and Manchester offices.

Our technologists are at the very heart of Starling and enjoy working in a fast-paced environment that is all about building things, creating new stuff, and disruptive technology that keeps us on the cutting edge of fintech. We operate a flat structure to empower you to make decisions regardless of what your primary responsibilities may be, innovation and collaboration will be at the core of everything you do. Help is never far away in our open culture, you will find support in your team and from across the business, we are in this together!

The way to thrive and shine within Starling is to be a self-driven individual and be able to take full ownership of everything around you: From building things, designing, discovering, to sharing knowledge with your colleagues and making sure all processes are efficient and productive to deliver the best possible results for our customers. Our purpose is underpinned by five Starling values: Listen, Keep It Simple, Do The Right Thing, Own It, and Aim For Greatness.

Hybrid Working

We have a Hybrid approach to working here at Starling - our preference is that you're located within a commutable distance of one of our offices so that we're able to interact and collaborate in person. We don't like to mandate how much you visit the office and work from home, that's to be agreed upon between you and your manager.

Our Data Environment

Our Data teams are excited about the value of data within the business, powers our product decisions to improve things for our customers and enhance effective and agile decision making, regardless of what their primary tech stack may be. Hear from the team in our latest blogs or our case studies with Women in Tech.

We are looking for talented data professionals at all levels to join the team. We value people being engaged and caring about customers, caring about the code they write and the contribution they make to Starling. People with a broad ability to apply themselves to a multitude of problems and challenges, who can work across teams do great things here at Starling, to continue changing banking for good.

Requirements

We have built our entire banking platform in house and mostly in Java. We are looking for people who want to work on building the tooling that is used by our engineers on a daily basis.

We are looking for people who are truly full stack, and are as comfortable polishing their javascript front end as they are debugging the innards of their java applications database interactions, or standing up infrastructure with terraform. We are looking for people who can:

  • Design REST apis.
  • Code backend services, ideally using Java, or another other server side compiled language.
  • Develop modern front ends, ideally using React and Redux.
  • Get their code into the cloud and support it there, ideally on AWS.
  • Believe in clean coding, simple solutions, automated testing and continuous deployment.
  • Like to take ownership of a feature from the original idea through to live.
  • Think (like us) that a small number of empowered developers is the right way to deliver software.

Company Benefits

  • 33 days holiday (including flexible bank holidays)
  • An extra day’s holiday for your birthday
  • 16 hours paid volunteering time a year
  • Part-time and/or flexible hours available for most roles
  • Salary sacrifice, company enhanced pension scheme
  • Life insurance at 4x your salary
  • Hybrid/remote working
  • Private Medical Insurance with VitalityHealth including mental health support and cancer care. Partner benefits include discounts with Waitrose, Mr&Mrs Smith and Peloton
  • Generous family-friendly policies
  • Varied social groups set up and run by our employees
  • Perkbox membership giving access to retail discounts, a wellness platform for physical and mental health, and weekly free and boosted perks
  • Access to initiatives like Cycle to Work, Salary Sacrificed Gym partnerships and Electric Vehicle (EV) leasing

Full details are available on our careers site

Interview Process

Interviewing is a two way process and we want you to have the time and opportunity to get to know us, as much as we are getting to know you! Our interviews are conversational and we want to get the best from you, so come with questions and be curious. In general you can expect the below, following a chat with one of our Talent Team:

  • Stage 1 - 30 mins with one of the team
  • Stage 2 - Take home challenge
  • Stage 3 - 90 mins technical interview with two team members
  • Stage 3 - 45 min final with an executive and a member of the people team
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