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Client Operations

2 weeks ago

Horsham, West Sussex, United Kingdom Schroders Full time £80,000 - £100,000 per year
Description

Who we're looking for

The role of Oversight and Client Operations Manager will primarily be focused on managing the day-to-day responsibilities of the Oversight and Client Operations Team.

This role will involve leading the team responsible for Investment Restriction compliance management, ensuring effective pre and post trade mandate restriction monitoring – 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. Alongside leading the oversight roles relating to Accounting Service and Reconciliation.

The role holder will form part of the Client Mandate Lifecycle Management team responsible for managing the Oversight and Client Operations Teamand ensuring all team members are cross trained in all aspects of the wider Client Mandate Lifecycle function. Ensuring Analysts adhere to defined processes and procedures, updating KPIs which cover their function. The role will be required to liaise with various levels of internal stakeholders across many countries; communication and stakeholder management skills are therefore essential. 

The key responsibilities of Oversight and Client Operations Manager include: 

  • Ensuring day to day BAU monitoring follows processes and delivers expected outcomes
  • Co-ordination and support of mandate onboarding and change
  • Support of business teams to investigate and resolve queries
  • Management of the UST oversight Analysts ensuring high levels of oversight are maintained and service deliverables are monitored and reported on.

     

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 6,000 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.

What you'll do

  • Lead a team of analysts responsible for Investment Restriction Compliance Management and UST oversight functions.
  • Develop a high-performing team, fostering a collaborative and inclusive culture to drive exceptional results.
  • Manage relationships with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues.
  • Oversee and ensure completion of the daily tasks: eg provide advice and assist pre-trade violation overrides.  Complete overnight monitoring; escalate and follow through issues appropriately.  Support delivery as needed.
  • Ensure that issues with service are fed back to the team and resolved.
  • Escalate and work closely with vendors to ensure resolution of issues
  • Aid delivery of mandate investment guideline on-boarding and change activities including supporting initial impact assessments and implementation onto the Aladdin platform.
  • Collaborate with global coding and oversight teams to implement consistency, best practice and enhance the control environment.
  • Ensure that queries received by the team are understood clearly and resolved to a high standard of quality and in a timely manner, continuously ensuring a robust and efficient control environment.
  • Represent the team in audit, regulator, and client queries or visits, coordinating requests and ensuring timely delivery of responses.
  • Oversee, coordinate and review the output of tasks performed across the Portfolio Compliance functions. 
  • Provide analysis of gaps and troubleshoot errors and provide onward communication / training to message risks / gaps, propose innovative tested solutions 
  • Responsible for ensuring business controls are implemented and adhered to.
  • Support Head of Client Mandate Lifecycle to identify risk, enhancements opportunities, provide team KPIs and lead/contribute to other key initiatives and projects as required.
  • Keep abreast of changes in the industry and regulations by attending relevant conferences and reading relevant industry publications.
  • Act as an escalation point for the team.
  • Effectively plan, prioritise and manage workloads across the team.
  • Oversee team training and development, 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.
  • Act as an escalation point for the UST oversight roles. 
  • Assessing and reviewing UST service levels and output.
  • Performing stakeholder engagement between the business and the UST functions that oversight is provided on.
  • Where appropriate escalating service concerns, complaints and risks to the Head of Client Mandate Lifecycle EMEA regarding UST teams.

Key deliverables and outcomes

  • Ensure BAU activities and reporting meet KPI targets
  • Ensure that the Head of Client Mandate Lifecycle EMEA is made aware of any issues which the Oversight and Client Operations Manager deems material. 
  • Provide to the Head of Client Mandate Lifecycle EMEA an annual assessment of their own performance against objectives agreed with them. 
  • Assist in the development and training of the team.
  • Stop activities that are no longer required or add no value.
  • Identify end-to-end process enhancements for efficiency gains and risk reduction.
  • Ensure the team's service meets predefined deliverable targets

What you'll be like 

  • Experience in asset management operations, within a senior investment restrictions implementation role. 
  • Excellent technical understanding of the Asset Management industry in particular Investment Restrictions implementation and monitoring. 
  • Strong knowledge and understanding of the regulations relating to regulatory investment restrictions e.g. UCITS, SFDR/SDR, 40s ACT, Canadian Pensions.
  • Good policy and procedure setting, and risk assessment skills.
  • Experience of leading/mentoring a team, with strong leadership skills, able to motivate and hold people accountable to deliver on commitments especially outside BAU.
  • High level of attention to detail with a passion for quality and a resolve to present fully accurate data and information. 
  • Ability to work under time pressure and challenging deadlines. 
  • Requires the ability to communicate comfortably and concisely with all levels of management and build strong relationships
  • Responsible, diligent and willing to put in extra effort and hours to get things accomplished
  • Experience of working in an agile environment.  
  • Open, receptive and curious about new ideas that challenges the status quo and encourages the same from their team members.  
  • Results oriented, a focus on quality of delivery
  • Creative approach to problem solving
  • Ensures team and self are client focussed
  • Experience and understanding of a wide variety of Financial instruments including; Fixed Income, Futures and Swaps etc
  • Proficient in Excel.  Experience with Word, PowerPoint, Aladdin (or equivalent), Microsoft applications and SQL is advantageous

We recognise potential, whoever you are

Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.

Schroders Behaviours - How we act gives us our Edge

All colleagues are expected to actively demonstrate Schroders' behaviours by:

  • Taking accountability and ownership of their responsibilities, embracing challenges, driving outcomes, and executing promises with pace and precision.
  • Championing collaboration to fuel collective success, break through barriers, and resolve conflict.
  • Innovating by challenging the current way of working, adapting with agility, and cutting through complexity with clarity and purpose.
  • Inspiring our people by embodying our culture encouraging and empowering others, leading by example, and advocating for our clients.
  • Being client centric, anticipating clients' needs and proactively addressing challenges with foresight to deliver an extraordinary client experience.

We recognise potential, whoever you are

Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.