Job Type
Permanent
Closing Date
16/10/2025
Schroders Personal Wealth aims to improve the way financial advice is offered, by making it more affordable, accessible and powerful for more people. We want to change lives for the better.
As Head of Compliance (Centre of Excellence) at Schroders Personal Wealth, you will be provide deep technical support across all Compliance teams (Compliance Office, Compliance Advisory and Compliance Monitoring). To help lead the Compliance function in delivering high quality Compliance services, oversight, challenge, support and reporting across Schroders Personal Wealth (SPW). This role provides support to all Compliance teams to ensure the highest level of professional standards through training, coaching and leading by example. As needed this role will also support the business to ensure its activities are conducted in accordance with applicable laws, regulations, and internal policies. The role holder will champion a culture of compliance, ethical conduct and focus on good customer outcomes.
Type
| Permanent
Location
| National
Salary
| £90,000+ (dependant on experience)
Key Responsibilities
* Provide deep technical regulatory support across all Compliance teams.
* Drive continuous upskilling and technical knowledge across all Compliance teams (inc. coaching and training where needed.)
* Provide senior and highly skilled coverage across Compliance, including deputising for the Director of Compliance as needed.
* Provide core Compliance coverage across all areas of Compliance for non-BAU projects and/or ad-hoc requests (e.g. non-BAU strategic initiatives or ad-hoc Monitoring reviews requested by BARC).
* Drive the upskilling and technical regulatory knowledge within 1st Line (inc coaching and training as needed).
* Support the Director of Compliance in discharging their responsibilities and SMF16 obligations.
* Oversee all relevant 1st and 2nd Line policies that have a regulatory impact.
* Implement and maintain all existing and future Compliance tooling requirements.
* Support the Director of Compliance in managing their wider Risk responsibilities such as the Risk Management Framework and associated Risk Stewardship activities
* Contribute to the development and execution of the overall Risk & Compliance strategy aligned with SPW's business objectives.
* Stakeholder Engagement – build strong relationships with senior leaders across the business becoming a trusted partner.
* Represent Compliance in governance forums and committees as needed.
* Support the production of high-quality reports and MI for senior management and governance bodies.
* Champion and Role Model the firms Risk Culture.
Qualifications & Skills (Examples)
* Proven experience in a senior compliance role within financial services, ideally wealth management or retail investment.
* Experience of interaction and communication with regulatory bodies.
* Deep knowledge of FCA regulations, particularly COBS, Consumer Duty, SYSC, CASS, DISP etc.
* Ability to identify and interpret regulatory themes.
* Excellent leadership, communication, and stakeholder management skills.
* Coaching and training.
Qualifications
* Degree-level education or equivalent experience.
* Relevant professional qualifications (e.g., ICA, CISI, or equivalent) are desirable.
We understand not everyone will meet 100% of the requirements, however we encourage you to apply if you think your skills are a good fit for this role.
This job vacancy may close earlier than the advertised date if a suitable candidate is found. We encourage interested applicants to submit their applications as soon as possible.
Some fantastic benefits SPW colleagues enjoy:
* Generous Holiday Entitlement: 30 days of annual leave plus bank holidays, with the option to buy or sell 5 days.
* Health & Wellbeing: Company-paid Private Medical Insurance, Life Insurance, and Health Screening.
* Company Pension Contribution: A matched pension contribution of up to 15% of your base pay.
* Cash Allowance: Flexible allowance to spend on additional benefits personal to you, including: dental cover, paid sabbatical leave, gym membership, menopause support.
* Bonus Opportunity: Dependent on individual/company performance (eligible after 3 months' service)
* Financial Advice: Access to free financial advice to help secure your financial future.
To find out more, please visit
We support flexible working:
At SPW, we know how important it is to be able to achieve a balance. We want to support your lifestyle as well as meeting our business needs, so will always aim to be flexible. As well as traditional working patterns, we have colleagues who work informal flexible hours, reduced working hours, and have job-sharing arrangements. Many colleagues work from home, or in a hybrid way.
Ready to restart your career?
We warmly welcome applications from those returning to work after a period of leave, providing appropriate support and training where required.
You belong here:
At SPW, we embrace individuality and diversity of identity, experience, and thought. We actively strive for inclusive behaviours and actions, making appropriate adjustments for disabilities, health conditions and neurodiversities. We ensure equal opportunities for all and transparently report on gender pay to promote fairness.
Schroders Personal Wealth operates under the Senior Managers and Certification Regime as a solo-regulated firm and if this role is classed as a Certified Role under that regime you will be subject to enhanced vetting and will have a number of additional conduct and regulatory duties to adhere to, as well as certifying at least annually that you are fit and proper to perform this role.