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Portfolio Compliance Lead Specialist / Specialist

Hong Kong
Job Type
8 Sep 2022
Who we're looking for

We're looking for someone to join the APAC Portfolio Compliance Change team as a Portfolio Compliance Lead Specialist / Specialist, based in either Hong Kong or Singapore.

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 and coding.

The Portfolio Compliance Lead Specialist / Specialist will be responsible for interpreting, coding and testing rules in Aladdin. As well as assisting other Portfolio Compliance teams, Fund Managers and other teams across Schroders with queries, escalating issues and coordinating delivery with the wider London Change team. Performing day to day control activities to ensure a robust control environment. As well as wider reviews and project work.

It is a role where attention to detail, time management and good communication skills are critical. The Portfolio Compliance Senior Associate works closely with members of the wider Portfolio Compliance Team but also has regular contact across other teams in the business.

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're 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

We will be either Two Pacific Lace, Queensway Hong Kong or Marker Street, CapitaGreen Singapore both in the financial centres. We offer flexible working appropriate for a client solutions focussed role.

The team

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 team is mainly located in London. 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 Change 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

  • Providing support to the Global Head of PCT and the wider Change team especially the Control function.

  • Analysis of gaps and Provide onward communication / training to message risks / gaps, priorities and achievements.

  • Escalate and work to ensure resolution of any issues with BRS.

  • Help to improve processes and update data within the compliance monitoring system used to monitor guidelines.

  • Establish and maintain strong relationships with senior stakeholders. Be proactive in managing business stakeholder priorities, concerns and expectations.

  • Lead by example in understanding the detail and being 'hands-on' in tasks when required.

  • Support coding and checking complex investment restrictions in the monitoring system. These will be sourced from IMAs, clients, regulations or internal teams.

  • Perform coherent testing of the coding in Aladdin.

  • Maintain broker rules in Aladdin and assisting Trading Desks with queries.

  • Oversee and perform 'day to day' on-boarding, regular control activities and mini projects to maintain to ensure a robust control environment.

  • Assist with and provide advice on internal team queries as required (both intraday and overnight).

  • Create a good team culture managing a team with various experience and abilities, including coaching and mentoring of less experienced staff.

  • Drive, direct and oversee the implementation of projects to successful outcomes using appropriate management controls and standards, including reporting, planning, dependencies, tracking delivery.

  • Steward processes and change documentation to ensure approvals, sign-offs and change control can be easily audited.

  • Act as a centre of excellence across the division.

The knowledge, experience and qualifications you need

  • A good understanding of investment management generally and ideally +5yrs experience in in a similar coding role.

  • Ideally having previous Aladdin experience.

  • Ability to deliver complex information in a clear and concise way, both written and face to face

  • Care and diligence in reviewing coding and the desire to make the way we do things more robust, scalable and efficient

The knowledge, experience and qualifications that will help

  • A good working knowledge of Excel / SQL (basic) / BQL / BBG or Reuters. Other coding languages e.g. Python, Java would also be advantageous.

  • Familiarity with portfolio guideline monitoring systems

  • Desire to shape how we communicate with various Schroders teams and to build and manage efficient processes to deliver information

  • Working knowledge of the regulations relating to investment restrictions e.g. UCITS, MPF, and MAS etc.

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

  • Able to work under pressure, on several priorities at once, and with tight deadlines

  • 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

We're looking for the best, whoever they are

Schroders is an equal opportunities employer. You're welcome here whatever your sex, marital status, ethnic origin, sexual orientation, religious belief or age.

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  • Job Reference: 707120670-2
  • Date Posted: 8 September 2022
  • Recruiter: Schroders Investment Management
  • Location: Hong Kong
  • Salary: On Application
  • Sector: Banking & Financial Services
  • Job Type: Permanent