Head of Public Markets, Compliance

Who we are 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 UsSchroders is a global investment manager which provides active asset management, wealth management and investment solutions. We aim to provide excellent investment performance to clients through active management. We serve a diverse client base that includes pension schemes, insurance companies, sovereign wealth funds, endowments, foundations, high net worth individuals, family offices, as well as end clients through partnerships with distributors, financial advisers, and online platforms.

Established in 1804, we have around 5,500 people across 36 global locations. Schroders' success can be attributed to its diversified business model, spanning different asset classes, client types and geographies.

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…