Portfolio Compliance Analyst/ Investment Compliance

1 week ago

London, United Kingdom Schroders Full time

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. Work within a team of analysts responsible for Investment Restriction Compliance Management: onboarding, violation oversight and query resolution.
Assist with the delivery the daily overnight violation monitoring; helping with escalations and following up issues appropriately.
Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues. Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.
Aid delivery of mandate investment guideline on-boarding and change activities appropriate for you level of experience and review the coding changes done by other team members.
Review, update, test and troubleshoot errors, if any, on rules due to simple investment guidelines changes.
Liaise with peers in team and internal clients to deliver service to acceptable quality
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 with audit/regulator/client queries and visits coordinating requests and ensuring timely delivery of responses.
Handle the departmental administrative matters and projects together with the rest of the team, and support/cover the team’s BAU tasks when required to.
In line with your experience 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.
Experience Investment Restrictions/Guideline Monitoring role, preferably using Aladdin.
Demonstrated proficiency in analytical tools, a familiarity with Excel and Word. PowerPoint, Visual Basic, Access, and SQL would be beneficial.
Positive, open-minded attitude to change and new ideas, with a creative approach to problem-solving.
Meticulous attention to detail and a focus on quality and accuracy in all outputs.
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.
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.

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