Compliance Officer

We’re looking for a risk and compliance professional to support the Head of Risk and Compliance of Schroders Greencoat LLP. The role will see you support the Schroders Greencoat PLC’s and Private Market Funds (the “Funds”) in governance, risk management and compliance activities.

About Schroders Greencoat

Schroders Greencoat is the leading investment manager dedicated solely to renewables and has around £9 billion of wind, solar and energy transition assets under management. This is across publicly listed vehicles and a range of private market pooled funds and mandates that invest in renewable infrastructure. On behalf of our clients, we currently own and operate assets in the UK, Europe and the US. Schroders Greencoat is now part of the Schroders Capital, Schroders’ private markets division. This significantly enhances the range and breadth of opportunities that Schroders Greencoat accesses as part of a leading private markets business.

Renewable energy is a multi-trillion-dollar global asset class and is expected to grow by more than $100 billion a year over the next decade. Utilities, energy companies and infrastructure developers will deliver the majority of this transition, but the scale of capital involved will require significant external financing. There exists a very large and growing pool of capital which is keen to own and operate these assets but lacks the deep technical skills and sector expertise to manage the investments independently. Our purpose is to bridge this gap – to be a conduit for this capital, and to provide the financial, technical and operational expertise to deliver secure incomes for our clients. Founded in 2009, we have built a reputation for unwavering delivery of our investment propositions, as well as for innovation – having forged institutional-grade offerings in renewable infrastructure that have become the model for an entire industry sector.

The base

Greencoat’s UK offices are located in Victoria, London. London based staff work Mondays and Fridays from home with core office days running Tuesday to Thursday.

What you’ll do

• Assist with risk and compliance projects, and such other duties as required, a non-exhaustive list of the teams’ tasks includes:
  • Reviewing and updating the Firm’s compliance policies and procedures to ensure that they take account of regulatory changes;
  • Keep the business appraised of regulatory developments and requirements and maintain a culture of compliance;
  • Provide compliance advisory services to the business, as required;
  • Submission of FCA applications/reports;
  • Update PLC PRIIPS KIDs and review EMT’s;
  • Review AIFMD investor disclosures for the AIFs;
  • Review the quarterly risk management reports for each fund;
  • Scope and prepare the annual Compliance Monitoring Plan and Operational Risk Monitoring Plan;
  • Assist with annual review of Risk Assessments at fund and asset level, in line with the Operational Risk Monitoring Plan;
  • Assist the business units on the annual review of their Risk Matrices;
  • Identify control gaps and opportunities for improvement;
  • Liaising with external compliance consultants, legal counsel, the fund Company Secretaries and Schroders group, as required;
  • Attending regulatory conferences to ensure continuing professional development, and share knowledge gained;
  • Ensuring that client assets are held in accordance with the relevant CASS requirements;
  • Preparation and submission of CMAR returns;
  • Supporting the MLRO in activities relating to anti-money laundering;
  • Assisting investment teams to carry out anti-bribery and counterparty due diligence checks on new counterparties and new asset entities;
  • Reviewing service providers AML framework to ensure it is compliant;
  • Maintaining permanent insider lists for Schroders Greencoat LLP’s listed funds;
  • Management of the Firm’s Restricted List;
  • Reviewing marketing materials to ensure they comply with the relevant regulatory rules;
  • Maintain the personal accounts dealing/Gifts & Entertainment /Business Interests/ Government Contact register/ external appointments;
  • Prepare and complete workpapers or attestations for regulatory, compliance or service provider reviews/audits for each of the Funds;
  • Assess, evaluate, and promote compliance with internal policies;
  • Manage any regulatory and AIC reporting in relation to the Funds;
  • Assist with completion of due diligence questionnaires and investor queries on risk management and compliance;
  • Assist with business development and fund set-up activities where support is required;
  • Provide ongoing compliance training and ensure all mandatory training has been completed;
  • Support the risk & compliance function with projects, including regulatory development;
  • MI production on matters to the Risk Management Committee, Management Committee, fund steering committees and listed fund Boards as required;
  • Assist with other tasks and projects as required;
  • Oversee the implementation of ESG regulations in the business;
  • Organise the annual compliance/SMCR declarations process; and
  • Maintain the firm breach register.

We recognise 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.