Head of Portfolio Compliance Change Control Head of Portfolio Compliance Change Control …

Schroders Investment Management
in London, United Kingdom
Permanent, Full time
Last application, 19 Apr 21
Schroders Investment Management
in London, United Kingdom
Permanent, Full time
Last application, 19 Apr 21
Schroders Investment Management
Head of Portfolio Compliance Change Control
Who we're looking for

We're looking for someone to join the London Portfolio Compliance Change team as a the Head of Portfolio Compliance Change Control.
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 Head of Portfolio Compliance Change Control will be responsible for managing the Change Control function. Assisting the Global Head with managing general team organisation, planning and directing a variety of projects to ensure that the outcomes are delivered to high quality. Overseeing and performing 'day to day' on-boarding and control activities to ensure a robust control environment. Also be able to interpret, code and test 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.

It is a role where attention to detail, time management and good communication skills are critical. The Portfolio Compliance Analyst works closely with members of the 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 moved into our new HQ in the City of London in 2018. We're close to our clients, in the heart of the UK's financial centre. 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 Global Change Team is split into two core functions Design and Control. Collectively the team is also responsible for improving data, process and functionality. There is opportunity for cross training across the teams. This role sits within the London Change Team. We're a multi-talented team who enjoy working together, exchanging ideas and sharing information to improve the control environment.

What you'll do

• 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.
• Support to Global Head of Portfolio Compliance to deliver group initiatives.
• As required prepare reports, MI and documentation for senior management and key stakeholders. Provide onward communication / training to message risks / gaps, priorities and achievements.
• 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.
• Assist with and provide advice on internal team queries as required (both intraday and overnight).
• Oversee and perform 'day to day' on-boarding and control activities to ensure a robust control environment.
• Steward processes and change documentation to ensure approvals, sign-offs and change control can be easily audited.
• Escalate and work with BRS to ensure resolution of any issues.
• Help to improve processes, streamline activity and update data within the compliance monitoring system used to monitor guidelines.
• Work with Fund Managers / Inv. Risk / Group Compliance teams and enhance relationships, across various Schroders teams.
• 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.
• Proven ability to manage and deliver projects.
• Care and diligence in reviewing coding and the desire to make the way we do things more robust, scalable and efficient.
• A good working knowledge of Excel / BBG or Reuters.
The knowledge, experience and qualifications that will help

• Working knowledge of the regulations relating to investment restrictions e.g. UCITS, MPF, and MAS etc.
• Other coding languages e.g. SQL, Python, Java would also be advantageous.
• Desire to shape how we communicate with various Schroders teams and to build and manage efficient processes to deliver information.
• Previous team leader experience.
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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