Portfolio Compliance Lead Analyst - Temporary Contract

The Portfolio Compliance Oversight Team, based in London, is the team responsible for Ongoing compliance monitoring, implementation and maintenance of Investment Restrictions, ensuring effective pre and post trade mandate restriction controls and governance – covering a wide range of products including (but not limited to) Equity, Fixed Income, Multi Asset, Solutions, QEP, EMD/Commodity and Property via our monitoring systems – predominantly Aladdin.

The role assists delivering a robust control environment and supporting Investment Teams to ensure effective pre- and post-trade mandate restriction monitoring all within challenging deadlines. You will provide subject matter expertise, and handling ad-hoc requests. We are looking for someone who has +3yr experience in this or a similar role and who likes working as part of a team, is comfortable with a fast-paced operations environment and has a strong attention to detail.

What you'll do

• Work within a team of analysts responsible for Investment Restriction Compliance Management: violation oversight, onboarding and query resolution. 

• Deliver and oversee the daily review of overnight violation monitoring; escalate and follow through issues appropriately.  

• Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues.  Providing advice and assisting pre-trade violation overrides. 

• Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.

• Assist with the delivery of mandate investment guideline on-boarding and change activities appropriate for you level of experience supporting initial impact assessments and implement controls onto the Aladdin platform.  Review the coding changes done by other team members.

• Collaborate with global coding, oversight teams and other teams to implement consistency, best practice and enhance the control environment.

• Resolve queries received and deliver regular tasks to high standard of quality and in a timely manner, continuously ensuring a robust and efficient control environment.

• Assist in audit/regulator/client queries and visits coordinating requests and ensuring timely delivery of responses.

• Highlight and analyse gaps and troubleshoot errors and provide onward communication / training to message risks / gaps, propose innovative tested solutions 

• Coach, mentor and train junior members of the team, ensuring procedures and materials are kept up to date.

• Handle the departmental administrative matters together with the rest of the team, and support/cover the team’s BAU tasks when required to.

• Support the development of an effective team by fostering collaboration, sharing expertise, and contributing to a positive and inclusive working environment.

What you'll be like 

The knowledge, experience and qualifications you need

• Experience working in an investment guidelines monitoring / implementation role, preferably using Aladdin. 

• Good policy and procedure setting, and risk assessment skills.

• Track record of collaborating with internal clients and influencing cross-functional teams to deliver high-quality service within agreed SLAs.

Technical Expertise

• Good technical understanding of the Asset Management industry in particular Investment Restrictions implementation and monitoring across a broad spectrum of investment products. 

• Strong knowledge and understanding of the investment restriction regulations e.g. UCITS, SFDR/SDR, 40s ACT, Canadian Pensions. 

• Proficient in Excel.  Experience with Word, PowerPoint, Aladdin (or equivalent), Microsoft applications and SQL is advantageous

• Solid grasp of investment processes.

Personal Attributes:

• Excellent communication and interpersonal skills, both written and verbal.

• Positive, open-minded attitude to change and new ideas, with a creative approach to problem-solving.

• Ability to learn quickly and apply new knowledge effectively.

• Strong organisational and prioritisation skills, with the ability to manage competing demands and deliver to tight deadlines.

• Meticulous attention to detail and a focus on quality and accuracy in all outputs.

• Results-oriented, self-motivated, and enthusiastic, with a commitment to team success and client service.

• Demonstrates professional behaviour and contributes to a collaborative, innovative culture.

• Receptive to feedback, challenges the status quo, and proactively seeks opportunities for improvement.

• Thrives in a team environment, working towards a collective goal, taking joint accountability for team goals and objectives.