Portfolio Compliance Lead Specialist / Manager
Who we're looking for
We are looking for someone to join the APAC Portfolio Compliance Oversight team as a Portfolio Compliance Lead Specialist / Manager.
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 APAC Portfolio Compliance Lead Specialist / Manager will be responsible for daily review of overnight violations, interpreting and requesting rule coding in Aladdin and assisting with queries across the various offices in APAC. It is a role where attention to detail, time management and good communication skills are critical.
The Portfolio Compliance Lead Specialist / Manager works closely with members of the Portfolio Compliance Team globally and also has regular contact across other teams in the business regionally.
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. About Schroders
We are a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. We have around 4,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper. The base
This person will be based in Singapore. The team
The Portfolio Compliance Team is a global function. The Team comprises Regional Oversight teams in US, APAC and EMEA together with Global Change Team in UK and APAC. The Oversight teams primarily focus on post trade monitoring of investment restrictions. These can be sourced from clients, regulations or internally. Other activities include minor updates to coding, responding to queries relating to restrictions and periodic sign offs. Coding is largely handled by the Global Change Team, and the team is also responsible for improving data, process and functionality. There is opportunity for cross training between the teams. This role sits in the APAC Oversight Team.
We are 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
The knowledge, experience and qualifications you need
- Daily Review of overnight violations; escalate and follow through issues appropriately; maintain and update breach record accordingly
- Develop and perform regular alternative monitoring for restrictions that cannot be automated in Aladdin
- Review, interpret and code investment restrictions in Aladdin system to ensure compliance with applicable investment guidelines
- Assist Operations teams to override trade violations where necessary
- Provide periodic client portfolio compliance attestation in a timely manner
- Maintain broker rules in Aladdin and assist Trading Desks with queries
- Work closely with Fund Managers / Product / Client Executives on investment guidelines related matters and issues, and maintain good working relationship with them
- Provide advice on the validity of pre-trade alerts
- Provide suggestions on workflow and process improvements to enhance efficiency or close gaps
- Participate in projects and working groups relating to new markets, instruments and mandate in order to assess the impact on restrictions monitoring
- Provide cover for other team members in the region when they are out of office
- Assist in audit/regulator/client visits
- Handle the departmental administrative matters together with the rest of the team
The knowledge, experience and qualifications that will help
- Degree or Diploma with at least 3 to 5 years of experience in a portfolio compliance/investment guideline monitoring role
- Working knowledge and understanding of the regulations relating to investment restrictions e.g. UCITS, Code on CIS, CPF Investment Guidelines, UTMF Chapter 7, MPF, US 1940 Act
- Knowledge of how a violation may be triggered and where to look for details and data to conduct meaningful investigation
- An understanding of investment management industry and investment products
- Ability to deliver complex information in a clear and concise way, both written and face to face
- Good working knowledge of Excel
- Care and diligence in reviewing overnight violations and the desire to make the way we do things more robust, scalable and efficient
What you'll be like
- Familiarity with portfolio guideline monitoring work and systems such as Aladdin
- Familiarity with market data systems such as Bloomberg and/or Refinitiv
- Desire to shape how we communicate with various Schroders teams and to build and manage efficient processes to deliver information
We're looking for the best, whoever they are
- 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 experiences to handle novel issues
Schroders is an equal opportunities employer. You're welcome here whatever your socio-economic background, race, gender, gender identity, sexual orientation, religious belief, age or disability.