• Strong working knowledge of investment and operational processes across the asset management lifecycle, including mandate onboarding, portfolio construction, order management, trade execution, allocation, settlement, investment restriction monitoring, breach management, valuation, corporate actions, outsourcing and third-party oversight.

• Knowledge of regulatory expectations across multiple Schroders jurisdictions, including the ability to understand differences between UK, EU, US, Asia-Pacific, Middle East and other local regulatory regimes and translate them into practical global standards.

• Strategic thinker able to anticipate regulatory and business developments, shape the global Compliance agenda and translate complex regulatory expectations into practical, risk-based operating standards.

• Proven ability to influence executive stakeholders, challenge senior business leadership constructively and operate effectively across global, regional and local Compliance structures.

• Strong judgement, commercial awareness, regulatory credibility and the ability to produce concise, executive-ready reporting and recommendations for the CCO, senior committees and regulated entity boards.

Discharge of responsibilities

The role holder shall ensure that all their responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Schroders Group, taking into account the interests of key stakeholders including clients, employees, regulators, suppliers and society as a whole.

In discharging their principal responsibilities, the Head of Public Markets Compliance shall establish appropriate governance structures for all areas under their control and will hold the following responsibilities:

• Global Public Markets Compliance strategy: Define and lead the global Compliance strategy for Schroders’ Public Markets business, ensuring the function provides proactive, risk-based and commercially aware oversight, advice and challenge across all Schroders jurisdictions, regulated entities and Public Markets activities.

• Senior business advisory and challenge: Act as the senior Compliance adviser to Public Markets ExCo, providing strategic input and independent challenge on investment, trading, portfolio management, research, product, fund governance, distribution, technology, outsourcing and operating model developments.

• Fund structures and product governance: Provide senior Compliance oversight of regulatory requirements applicable to Schroders’ Public Markets fund structures, including UCITS, AIFs, ETFs, pooled funds, segregated mandates, feeder structures, sub-advised mandates and cross-border distribution models, ensuring product governance, disclosure, client outcome and distribution requirements are appropriately embedded.

• AIFMD and fund management oversight: Provide strategic oversight of AIFMD-related obligations relevant to Public Markets, including AIFM governance, delegation and oversight, depositary arrangements, valuation, liquidity management, leverage, risk management interfaces, reporting, investor disclosure, marketing and cross-border implementation considerations.

• Global standards and local implementation: Establish clear global standards for Public Markets Compliance, ensuring regional and local Compliance teams adapt and implement those standards in a way that reflects jurisdictional requirements, regulatory expectations, fund domicile considerations and entity-level accountability.

• Public markets risk oversight: Provide senior oversight of Public Markets Compliance risks, including market abuse, insider information, conflicts of interest, personal dealing interfaces, inducements, best execution, trade allocation, order handling, investment restrictions, mandate compliance, valuation-related conduct risks, cross trades, product governance, disclosure and fair client outcomes.

• Operational process oversight: Understand and provide Compliance oversight of key investment and operational processes across the Public Markets lifecycle, including mandate onboarding, portfolio construction, pre- and post-trade controls, order management, execution, allocation, settlement, investment restriction monitoring, breach management, valuation, corporate actions, outsourcing, vendor dependency and third-party oversight.

• Market conduct and surveillance: Oversee the effectiveness of market conduct frameworks, restricted lists, watch lists, trade and communications surveillance, escalation processes, investigation standards and governance of potentially suspicious activity or material conduct issues.

• Regulatory change and horizon scanning: Provide strategic oversight of regulatory change impacting Public Markets globally, including changes affecting fund structures, market structure, trading, distribution, disclosures, sustainability, product governance, operational resilience and cross-border business, ensuring developments are assessed, prioritised, implemented and reported through appropriate governance.

• Compliance assurance, monitoring and testing: Shape and oversee Public Markets-related assurance, monitoring and testing activity globally, ensuring plans are risk-based, cover material investment, trading, fund governance and operational processes, and that findings are escalated with remediation tracked to completion.

• Governance, reporting and escalation: Provide clear and insightful reporting to the CCO, senior management, governance committees and regulated entity boards on Public Markets Compliance risks, jurisdictional developments, fund governance matters, incidents, assurance outcomes, control weaknesses and remediation progress.

• Leadership and global coordination: Lead, coordinate and develop Public Markets Compliance capability across global, regional and local teams, ensuring effective prioritisation, consistent standards, strong connectivity and clear accountability across Schroders jurisdictions.

• Regulatory engagement: Support the CCO and local senior managers in engagement with regulators on Public Markets matters, including supervisory reviews, information requests, thematic work, regulatory inspections, cross-border queries and material issue management.

Reporting Obligations

In discharging their responsibilities, the role holder shall:

• Ensure the CCO is made aware of material public markets compliance risks, regulatory developments, control weaknesses, conduct issues, assurance findings and matters requiring senior management, committee, board or regulatory attention.

• Provide clear escalation, recommendations and action tracking for public markets matters requiring remediation, governance approval, regulatory engagement or cross-jurisdictional coordination.

• Provide to the CCO an annual assessment of the global Public Markets Compliance framework, including progress against strategic priorities, assurance outcomes, regulatory change delivery, emerging risks and capability development across jurisdictions.

Committee Memberships