As a global investment manager, we help institutions, intermediaries and individuals across the planet meet their goals, fulfil their ambitions, and prepare for the future. But as the world changes, so do our clients’ needs. That’s why we have a long history of adapting to suit the times and keeping our focus on what matters most to our clients. Doing this takes experience and expertise. We bring together people and data to spot the trends that will shape the future. This provides a unique perspective which allows us to always invest with conviction. We are responsible for £418.2 billion (€476.3 billion/$543.3 billion)* of assets for our clients who trust us to deliver sustainable returns. We remain determined to build future prosperity for them, and for all of society. Today, we have 4,100 people across six continents who focus on doing just this. We are a global business that’s managed locally. This allows us to always keep our clients’ needs at the heart of everything we do. For over two centuries and more than seven generations we’ve grown and developed our expertise in tandem with our clients’ needs and interests. Explore our interactive timeline to see how we’ve been shaping financial futures since our very beginnings. *as at 30 June 2017

Portfolio Compliance Team Overview:

The PCT in London is responsible for overseeing portfolio compliance (ensuring that investment mandates are managed in accordance with their investment guidelines) for the institutional fund management business of Schroders in the London office.

Reporting Line:

The role reports to a manager on the Portfolio Compliance Team (“PCT”).  The team is part of the London Operational Risk and Portfolio Compliance Team, which reports into the Group Risk Team.

Role Overview:

Primary responsibilities:

  • Ensuring that investment guidelines are effectively monitored either using the compliance monitoring system or alternative processes.
  • Assisting with the coding and review of investment restrictions.  
  • Updating data within the compliance monitoring system used to monitor guidelines.
  • Provide advice on the validity of pre-trade alerts.  In conjunction with the Compliance Teams globally, advise Fund Managers on the permissibility of investments generally.   
  • Undertaking the daily batch portfolio compliance monitoring process.
  • Resolving client third party administrator and custodian queries regarding potential breaches.
  • Providing periodic client portfolio compliance statements in a timely fashion to client service teams
  • The role has regular contact with: Business Area COOs; Fund Management Teams; Client Service Teams; Portfolio Services; Transitions; Risk Managers; Internal Audit; Compliance; and Legal.

Desirable Qualifications and Skills:


  • Degree or A-levels with equivalent on-the-job training in a portfolio compliance / investment guideline monitoring role.
  • IMC, or similar, qualified.

Technical Skills:

  • The working knowledge of investment restrictions monitoring capability in Charles River, Aladdin or other investment restrictions checking software.
  • A working knowledge of the regulations relating to investment restrictions e.g. UCITS, INSPRU, Investment Companies Act 1940.
  • A good understanding of investment management generally. 

Other Skills:

  • Good communication skills both written and oral.
  • Good negotiation and problem-solving skills.
  • Ability to multi-task and prioritise in a fast paced environment.
  • Self starter with a pro-active attitude who is able to work in collaboration with others as part of a team.
  • Attention to detail and passion for quality and customer service.
  • A good working knowledge of Excel.
  • Experience of Bloomberg a plus.

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