Portfolio Compliance Analyst 2

2 weeks ago

Singapore Schroders Full time

Overview of Role/Principle Responsibilities


This role has the following principal responsibilities: We're looking for someone to join the Portfolio Compliance Oversight team in Singapore as a Portfolio Compliance Analyst 2.

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.

It is a role where attention to detail, time management and good communication skills are critical.

The Portfolio Compliance Lead Analyst 2 works closely with members of the Portfolio Compliance Team globally and also has regular contact across other teams in the business regionally.


Key Responsibilities

  • Daily Review of overnight violations; escalate and follow through issues appropriately
  • Perform alternative monitoring for restrictions that cannot be coded in Aladdin and strive to automate or streamline the procedure where possible
  • Assist teams to override order or trade violations where necessary or appropriate
  • 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 relationships with them
  • Provide advice on the validity of pretrade alerts
  • Assist in and/or lead audit/regulator/client queries and visits
  • New simple account onboarding activities including translating the investment guidelines into code using the Aladdin platform
  • Review, update, test and troubleshoot errors, if any, on rules due to investment guidelines changes
  • Create and maintain various lists used in rules
  • Handle the departmental administrative matters together with the rest of the team
  • Assist in audit / regulator / client queries and visits

General skills

  • Good communication, written and spoken, and be able to connect with people
  • Organised, have good time management skills and able to prioritise given tasks
  • Ability to deliver complex information in a clear and concise way, both written and face to face
  • Care and diligence in reviewing overnight violations and the desire to make the way we do things more robust, scalable and efficient
  • Proactive approach to risk mitigation
  • Able to tap on past relevant experiences to handle novel issues

Technical Skills

  • 3 years' experience in performing investment guidelines monitoring in the investment management industry and of investment products
  • Basic knowledge and understanding of the regulations relating to regulatory investment restrictions e.g. UCITS, 40s ACT, Canadian Pensions
  • Preferably experience in using guidelines monitoring systems, Refinitiv or Bloomberg
  • Proficient in MS Office such as Excel and Word.

Personal Attributes

  • Selfmotivated and enthusiastic; with the ability to 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
  • Responsible, diligent and willing to put in extra effort and hours to get things accomplished
  • Desire to shape how we communicate with various Schroders teams and to build and manage efficient processes to deliver information

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.

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