The Portfolio Compliance Team is an essential part of the Schroder control environment, supporting Investment Teams to ensure effective pre and post trade mandate restriction monitoring. The Portfolio Compliance Analyst will be responsible for daily review of overnight violations, interpreting and requesting rule coding / code rules in Aladdin and assisting with queries. The successful candidate will be someone willing to seize the opportunity and get the best out of being a member of this rapidly evolving team. Enthusiastic about improving processes, learning new skills and making a difference to the teams we support.
The Portfolio Compliance Team is a global function. The Team comprises Regional Oversight teams in US, APAC and EMEA together with a central Global Change Team. The Oversight teams primarily focus on providing daily pre and post trade monitoring of investment restrictions. These can be sourced from clients, regulations or internally. Activities also include minor updates to coding, responding to queries relating to restrictions and periodic sign offs. Coding is largely handled by the Global Change Team. The Global Change Team are also responsible for improving data, process and functionality. There is opportunity for cross training between the teams. This new role sits in the APAC Oversight Team.
We’re a multi-talented team who enjoy working together, exchanging ideas and sharing information to improve the control environment.
We routinely review our working practice to improve process, increase capacity and add more value for internal customers. We want to make time so we can give extra care and attention to the things that make a difference.
What you’ll do
- Daily Review of overnight violations: escalate and follow through issues appropriately: maintain and update breach record accordingly.
- Perform alternative monitoring processes for restrictions that cannot be coded in Aladdin.
- Provide periodic client portfolio compliance statements in a timely fashion to client service teams.
- Maintain broker rules in Aladdin and assisting Trading Desks with queries.
- Manage and enhance relationships, across various Schroders teams
- Work closely with Fund Managers / Product / Client Executives to capture investment restrictions and resolve issues
- Provide advice on the validity of pre-trade alerts.
- Assist in audit/regulator/client visits
The knowledge, experience and qualifications you need
- Degree or Diploma with equivalent on-the-job training in a portfolio compliance/investment guideline monitoring role, preferably 1 to 2 years’ of relevant experience
- Ability to deliver complex information in a clear and concise way, both written and face to face
- Desire to shape how we communicate with various Schroders teams and to build and manage efficient processes to deliver information
- Care and diligence in reviewing overnight violations and the desire to make the way we do things more robust, scalable and efficient
The knowledge, experience and qualifications that will help
- Familiarity with portfolio guideline monitoring work and systems
- Working knowledge and interpretation of the regulations relating to investment restrictions e.g. UCITS, Code on CIS, CPF Investment Guidelines, UTMF Chapter 7
- Knowledge of how a violation may be triggered and know where to look for details and data to conduct meaningful investigation to conclude
- An understanding of investment management and products generally
- Good working knowledge of Excel and/or knowledge of coding language such as JAVA
What you’ll be like
- Self-motivated and enthusiastic; own and deliver solutions
- Flexible, highly curious and willing to learn
- A critical thinker who’s able to look at things from different angles
- Attention to detail with a passion for quality
- Organised, have good time management skill and able to prioritise tasks given
- Responsible, diligent and willing to put in extra effort and hours to get things done
- Able to work well in collaboration with other people, sharing and communicating decisions
- Keen to improve what we do for our clients and how we do it
- Able to tap on past relevant experience to handle novel issues
- Able to work under pressure