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Portfolio Compliance Analyst

Schroders Investment Management
London, United Kingdom
Closing date
Dec 3, 2022

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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 Team
The Portfolio Compliance Team is a global function. The Team comprises Regional Oversight teams in US, APAC and EMEA together with Global Change Team in UK and APAC. The Oversight teams primarily focus on post trade monitoring of investment restrictions. These can be sourced from clients, regulations or internally. Other activities include updates to coding, responding to queries relating to restrictions and periodic sign offs.

Coding is largely handled by the Global Change Team, and the team is also responsible for improving data, process and functionality. There is opportunity for cross training between the teams. This role sits in the EMEA Oversight Team. We're a multi-talented team who enjoy working together, exchanging ideas and sharing information to improve the control environment.

What you'll do
Role primary responsibilities
Daily overnight violation review: reviewing and escalating issues appropriately.
Performing alternative monitoring processes for restrictions that cannot be coded in Aladdin using UDTs.
Updating data within the compliance monitoring system used to monitor guidelines.
Providing periodic client portfolio compliance statements in a timely fashion to client service teams.
Resolving client third party administrator and custodian queries regarding potential breaches.
Maintaining broker rules in Aladdin and assisting Trading Desks with queries.

Secondary responsibilities:
Assisting with the coding and review of investment restrictions.
Provide advice on the validity of pre-trade alerts.
Assisting with Desk Reviews.
The role has regular contact with: Business Area COOs; Fund Management Teams; Client Service Teams; Portfolio Services; Transitions; Risk Managers; Internal Audit; Compliance; and Legal.

The knowledge, experience and qualifications you need
No degree or previous experience is required, although it would be an advantage. However, the candidate must have a very good working knowledge of Excel and VBA or another coding lang

What you'll be like
• A critical thinker with attention to detail
• Innovative problem solver
• Pro-active, self-motivated and enthusiastic; own and deliver solutions
• Ability to prioritise, operate under pressure and deliver to demanding deadlines.
• Strong inter-personal skills
• Good communicator with the ability to deliver complex information concisely, both written and face to face
• Resilient and able to adapt behaviour to be able to drive through change

We're looking for the best, whoever they are
Schroders is an equal opportunities employer. You're welcome here whatever your socio-economic background, race, sex, gender identity, sexual orientation, religious belief, age or disability.

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