Head of Wealth Management Compliance Strategy & Governance

Head of WM Compliance Strategy & Governance

Schroders Wealth | Wealth Management

About Schroders Wealth

At Schroders Wealth we look after private individuals, families and charities. We are the Wealth Management business of the FTSE‑listed global investment manager Schroders. We help clients around the world invest to meet their goals, fulfil their ambitions and prepare for the future.

About Schroders

Schroders is a global investment manager with over 200 years of history and around 6,000 people across six continents. We continue to evolve with society, technology and client needs, while always remaining committed to delivering excellent investment performance and responsible stewardship.

The Role

The Head of WM Compliance Strategy & Governance is responsible for establishing and operating the central governance, planning, risk aggregation and execution capability required to support a credible, resilient and consistent global Wealth Management Compliance function. The role provides formal deputisation for the WM Chief Compliance Officer on relevant governance, strategic, regulatory coordination and cross-jurisdictional matters, ensuring that the Compliance agenda is translated into clear priorities, disciplined delivery and effective oversight across all WM jurisdictions.

What You Will Do

• Act as the central operating capability for WM Compliance, supporting the WM CCO in setting functional priorities, maintaining delivery discipline and ensuring effective execution of the global Compliance agenda.

• Operate the global WM Compliance governance framework, including leadership agendas, decision logs, action tracking, escalation routes, committee inputs and Board or ExCo reporting as required.

• Own and maintain a consolidated view of the WM Compliance risk profile across the UK, Switzerland, the Channel Islands and Singapore, including risk assessment outputs, MI, KRIs, KPIs, dashboards and thematic analysis.

• Coordinate local Compliance plans, functional priorities, resource requirements, budget and headcount inputs, and delivery dependencies across jurisdictions.

• Maintain central oversight of regulatory engagements, regulatory commitments, audit actions, remediation programmes and key control initiatives, ensuring ownership, deadlines and dependencies are clearly tracked.

• Drive standardisation, simplification and technology enablement across WM Compliance to reduce duplication, improve consistency and strengthen the efficiency of the control environment.

• Serve as a key interface with Group functions, ensuring that WM Compliance requirements, risks and priorities are appropriately represented and aligned with wider organisational initiatives.

• Participates in transformation projects for the entities and WM division where senior advise and compliance expertise is required 

  
  What You’ll Bring

• Significant experience in Compliance, risk management, governance, regulatory coordination or control-function leadership within wealth management, private banking or a comparable financial services environment.

• Strong understanding of multi-jurisdictional Compliance operating models and the ability to coordinate priorities across local, regional and group stakeholders.

• Proven ability to design and operate governance frameworks, senior committee processes, management information, risk dashboards and action tracking mechanisms.

• Excellent judgement, stakeholder management and written communication skills, with the ability to produce clear executive and Board-level materials.

• Strong organisational discipline, delivery focus and ability to manage competing priorities, dependencies and regulatory commitments in a complex control environment.

  Competencies

• Strategic thinking and commercial awareness

• Relationship building and influence

• Sound judgement and risk awareness

• Discretion, professionalism and resilience

        We recognise your potential, whoever you are

• Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.