Head of Public Markets, Compliance

About this role

Head of Public Markets, Compliance

Who we’re looking for

The Head of Public Markets Compliance is a highly strategic and experienced senior leadership role reporting to the Chief Compliance Officer. The role has a global remit across all Schroders jurisdictions and is responsible for providing enterprise-wide Compliance leadership, oversight and challenge for Schroders’ Public Markets business, including investment, trading, portfolio management, research, product, fund governance, distribution and related operational processes. The role holder will set the global Compliance strategy for Public Markets, ensure consistent standards across Schroders’ regulated entities and fund structures, and provide trusted, risk-based advice to senior management while maintaining effective independent challenge.

• Lead the global Public Markets Compliance agenda across all Schroders jurisdictions, providing strategic direction, senior oversight and effective challenge across public markets businesses and regulated entities.
• Act as the senior Compliance partner to public markets leadership, supporting investment, trading, portfolio management, research, product, distribution and operating model initiatives with clear, practical and risk-based advice.
• Set consistent global standards for public markets compliance, while ensuring appropriate adaptation for local legal, regulatory and supervisory requirements.
• Provide oversight of key public markets compliance risks, including market abuse, conflicts of interest, best execution, trade surveillance, investment restrictions, product governance, disclosure, cross-border activity and conduct risk.
• Oversee the effectiveness of compliance frameworks, policies, controls, surveillance, monitoring and assurance activity relating to public markets globally.
• Lead and coordinate regional and local Public Markets Compliance teams, ensuring strong connectivity, consistent prioritisation, effective escalation and high-quality delivery across jurisdictions.
• Support the CCO in senior regulatory engagement, committee reporting, board reporting and governance of material public markets compliance matters.
• Represent Compliance in senior public markets governance forums and contribute to Schroders’ broader Compliance strategy, risk management framework and conduct culture.

About Schroders

We’re a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

We have around 6,000 people on six continents. And we’ve been around for over 200 years, but keep adapting as society and technology changes. What doesn’t change is our commitment to helping our clients, and society, prosper.

The base

We moved into our new HQ in the City of London in 2018. We’re close to our clients, in the heart of the UK’s financial centre and we have everything we need to work flexibly.

What you'll do

• Highly experienced senior Compliance leader with deep Public Markets expertise and a proven track record operating across a complex global asset management business such as Schroders.
• Strong technical knowledge of Public Markets regulation, including investment management, trading, market conduct, market abuse, conflicts, best execution, product governance, disclosure, client outcomes, cross-border activity and senior management accountability.
• Strong understanding of fund structures and related regulatory requirements across Schroders’ Public Markets platform, including UCITS, AIFs, ETFs, segregated mandates, pooled vehicles, feeder structures, sub-advised arrangements and cross-border distribution models.
• AIFMD proficiency, including practical understanding of AIFM responsibilities, delegation and oversight, depositary interaction, valuation, liquidity management, leverage, disclosure, reporting, marketing and jurisdictional implementation considerations.
• Strong working knowledge of investment and operational processes across the asset management lifecycle, including mandate onboarding, portfolio construction, order management, trade execution, allocation, settlement, investment restriction monitoring, breach management, valuation, corporate actions, outsourcing and third-party oversight.
• Knowledge of regulatory expectations across multiple Schroders jurisdictions, including the ability to understand differences between UK, EU, US, Asia-Pacific, Middle East and other local regulatory regimes and translate them into practical global standards.
• Strategic thinker able to anticipate regulatory and business developments, shape the global Compliance agenda and translate complex regulatory expectations into practical, risk-based operating standards.
• Proven ability to influence executive stakeholders, challenge senior business leadership constructively and operate effectively across global, regional and local Compliance structures.
• Strong judgement, commercial awareness, regulatory credibility and the ability to produce concise, executive-ready reporting and recommendations for the CCO, senior committees and regulated entity boards.

Discharge of responsibilities

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, the Head of Public Markets Compliance shall establish appropriate governance structures for all areas under their control and will hold the following responsibilities:

• *Global Public Markets Compliance strategy:*Define and lead the global Compliance strategy for Schroders’ Public Markets business, ensuring the function provides proactive, risk-based and commercially aware oversight, advice and challenge across all Schroders jurisdictions, regulated entities and Public Markets activities.
• *Senior business advisory and challenge:*Act as the senior Compliance adviser to Public Markets ExCo, providing strategic input and independent challenge on investment, trading, portfolio management, research, product, fund governance, distribution, technology, outsourcing and operating model developments.
• *Fund structures and product governance:*Provide senior Compliance oversight of regulatory requirements applicable to Schroders’ Public Markets fund structures, including UCITS, AIFs, ETFs, pooled funds, segregated mandates, feeder structures, sub-advised mandates and cross-border distribution models, ensuring product governance, disclosure, client outcome and distribution requirements are appropriately embedded.
• *AIFMD and fund management oversight:*Provide strategic oversight of AIFMD-related obligations relevant to Public Markets, including AIFM governance, delegation and oversight, depositary arrangements, valuation, liquidity management, leverage, risk management interfaces, reporting, investor disclosure, marketing and cross-border implementation considerations.
• *Global standards and local implementation:*Establish clear global standards for Public Markets Compliance, ensuring regional and local Compliance teams adapt and implement those standards in a way that reflects jurisdictional requirements, regulatory expectations, fund domicile considerations and entity-level accountability.
• *Public markets risk oversight:*Provide senior oversight of Public Markets Compliance risks, including market abuse, insider information, conflicts of interest, personal dealing interfaces, inducements, best execution, trade allocation, order handling, investment restrictions, mandate compliance, valuation-related conduct risks, cross trades, product governance, disclosure and fair client outcomes.

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