Contractor, portfolio compliance analyst

1 month ago

Singapore Schroders Recruitment Full time

We’re looking for someone to join the APAC Portfolio Compliance Oversight team as a Portfolio Compliance Analyst. 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. The Portfolio Compliance Analyst will be responsible for daily review of overnight violations, interpreting and requesting rule coding/code rules in Aladdin and assisting with queries. 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, fulfill their ambitions, and prepare for the future. We have around 4,000 people on six continents and have 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 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 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, which is also responsible for improving data, process, and functionality. There is opportunity for cross-training between the teams. This new 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 processes, increase capacity, and add more value for internal customers. What you’ll do Daily review of overnight violations: escalate and follow through issues appropriately; maintain and update breach record accordingly. Perform alternative monitoring processes for restrictions that cannot be coded in Aladdin. Provide periodic client portfolio compliance statements in a timely fashion to client service teams. Maintain broker rules in Aladdin and assist Trading Desks with queries. Manage and enhance relationships across various Schroders teams. Work closely with Fund Managers/Product/Client Executives to capture investment restrictions and resolve issues. Provide advice on the validity of pre-trade alerts. Assist in audit/regulator/client visits. The knowledge, experience and qualifications you need Degree or Diploma with equivalent on-the-job training in a portfolio compliance/investment guideline monitoring role, preferably 1 to 2 years of relevant experience. Ability to deliver complex information in a clear and concise way, 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. Care and diligence in reviewing overnight violations and the desire to make the way we do things more robust, scalable, and efficient. The knowledge, experience and qualifications that will help Familiarity with portfolio guideline monitoring work and systems. Working knowledge and interpretation of the regulations relating to investment restrictions e.g., UCITS, Code on CIS, CPF Investment Guidelines, UTMF Chapter 7. Knowledge of how a violation may be triggered and know where to look for details and data to conduct meaningful investigation to conclude. An understanding of investment management and products generally. Good working knowledge of Excel and/or knowledge of coding language such as JAVA. 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. Organized, with good time management skills and able to prioritize tasks. Responsible, diligent, and willing to put in extra effort and hours to get things done. Able to work well in collaboration with others, sharing and communicating decisions. Keen to improve what we do for our clients and how we do it. Able to tap on past relevant experience to handle novel issues. Able to work under pressure. 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. #J-18808-Ljbffr

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