Portfolio Compliance Specialist / Lead Specialist Portfolio Compliance Specialist / Lead Specialist …

Schroders Investment Management
in Hong Kong
Permanent, Full time
Last application, 08 Apr 21
Schroders Investment Management
in Hong Kong
Permanent, Full time
Last application, 08 Apr 21
Posted by:
Jacylnn Tan • Onsite Recruitment Lead
Schroders Investment Management
Posted by:
Jacylnn Tan
Onsite Recruitment Lead
We’re looking for someone to join the APAC Portfolio Compliance Oversight team as a Portfolio Compliance Specialist. This team is an essential part of the Schroder control environment, supporting Investment Teams to ensure effective pre & post trade mandate restriction monitoring. This includes daily review of overnight violations, interpreting and requesting rule coding in Aladdin and assisting with queries. It requires attention to detail, time management and good communication skills are critical. You will work closely with members of the Portfolio Compliance Team globally and also has regular contact across other teams in the business regionally.

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

This person will be based in Hong Kong.

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’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

  • Perform daily review of overnight violations for APAC portfolios; escalate and follow through issues appropriately; maintain and update breach record accordingly
  • Perform alternative monitoring for restrictions that cannot be coded in Aladdin
  • Assist Operations teams to override trade violations where necessary
  • Provide periodic client portfolio compliance statements 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
  • Code simple rules/list and review changes made by other team members
  • Assist in audit/regulator/client visits

The knowledge, experience and qualifications you need

  • Degree graduate with at least 8 years of experience in a portfolio compliance/investment guideline monitoring role
  • Familiar with investment guidelines monitoring work and Aladdin system
  • Working knowledge and understanding of the regulations relating to investment restrictions e.g. UCITS, Code on CIS, CPF Investment Guidelines, SFC Code on Unit Trust and Mutual Fund (“UT Code”), MPF restrictions etc.
  • Knowledge of how a violation may be triggered and where to look for details and data to conduct meaningful investigation
  • Candidate of less experience will be considered as Portfolio Compliance Specialist
  • Ability to deliver complex information in a clear and concise manner, 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
  • Excellent communication and stakeholder relationship management skills
  • Care and diligence in reviewing overnight violations and the desire to make the way we do things more robust, scalable and efficient
  • Flexible to work during certain public holidays

The knowledge, experience and qualifications that will help

  • General understanding of investment management and products
  • Good working knowledge of Excel

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 experiences to handle novel issues


We’re looking for the best, whoever they are Schroders is an equal opportunities employer. You’re welcome here whatever your gender, marital status, ethnic origin, sexual orientation, religious belief or age.

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