Client Operations (Portfolio Compliance) Lead Analyst - 12 month contract

Who we're looking for

The role of Client Operations Lead Analyst will primarily be focused on delivering the day-to-day responsibilities of the Oversight and Client Operations team.

This role will involve working within 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.

As a Lead Analyst, you will play a critical role in 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, particularly in the oversight and delivery of complex queries and tasks, and handling ad-hoc requests.

The role requires the ability to triage and resolve queries and to manage and represent the department in relation to core operating platforms and ongoing departmental change. You will also support centralised service management activities, addressing both standard and specialised client requirements.

In this role you will help foster a collaborative and supportive team environment. Your strong interest in problem solving and learning will help drive efficiency and innovation in our processes. They will thrive under pressure, demonstrate excellent organisational and client management skills.

We are looking for a Client Operations Lead Analyst 1 to join our team on a Fixed Term contract for 12 months.

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.
 

The base

At Schroders, we're known for doing things differently. That's why we’re building a home for the ambitious in Horsham, West Sussex. You’ll get the all the benefits of being part of a world-leading FTSE 100 company. But you’ll also get the support of being part of a genuine local community. If you’re looking for opportunities that match your ambitions, you’ll find them right here in Horsham. 

What you'll do

• Work within a team of analysts responsible for Investment Restriction Compliance Management: violation oversight, onboarding and query resolution. 

• Deliver and oversee the daily review of overnight violation monitoring; escalate and follow through issues appropriately. 

• Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues.  Providing advice and assisting pre-trade violation overrides. 

• Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.

• 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.

• Collaborate with global coding, oversight teams and external vendors to implement consistency, best practice and enhance the control environment.

• 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 in audit/regulator/client queries and visits coordinating requests and ensuring timely delivery of responses.

• Highlight and analyse gaps and troubleshoot errors and provide onward communication / training to message risks / gaps, propose innovative tested solutions 

• Keep abreast of changes in the industry and regulations by attending relevant conferences and reading relevant industry publications.

• Participate/Lead in projects and working groups relating to new markets, instruments and mandate in order to assess the impact on restrictions monitoring, and initiatives including providing suggestions on efficiency and risk deduction.

• Coach, mentor and train junior members of the team, 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.

• Support the development of an effective team by fostering collaboration, sharing expertise, and contributing to a positive and inclusive working environment.

The knowledge, experience and qualifications you need

• Experience working in an investment guidelines monitoring / implementation role. 

• Good policy and procedure setting, and risk assessment skills.

• Track record of collaborating with internal clients and influencing cross-functional teams to deliver high-quality service within agreed SLAs.

• Involvement in projects and change initiatives is advantageous. 

Technical Expertise:

• Good technical understanding of the Asset Management industry in particular Investment Restrictions implementation and monitoring across a broad spectrum of investment products. 

• Strong knowledge and understanding of the investment restriction regulations e.g. UCITS, SFDR/SDR, 40s ACT, Canadian Pensions. 

• Proficient in Excel. Experience with Word, PowerPoint, Aladdin (or equivalent), Microsoft applications and SQL is advantageous

• Solid grasp of investment processes.

• IAQ/IMC professional qualifications preferred and training/competency accreditation suitable to the role.

Personal Attributes:

• Excellent communication and interpersonal skills, both written and verbal.

• Positive, open-minded attitude to change and new ideas, with a creative approach to problem-solving.

• Ability to learn quickly and apply new knowledge effectively.

• Strong organisational and prioritisation skills, with the ability to manage competing demands and deliver to tight deadlines.

• Meticulous attention to detail and a focus on quality and accuracy in all outputs.

• Results-oriented, self-motivated, and enthusiastic, with a commitment to team success and client service.

• Demonstrates professional behaviour and contributes to a collaborative, innovative culture.

• Receptive to feedback, challenges the status quo, and proactively seeks opportunities for improvement.

• Thrives in a team environment, working towards a collective goal, taking joint accountability for team goals and objectives.

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.