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Portfolio Compliance Team Overview:
The PCT in London is responsible for overseeing portfolio compliance (ensuring that investment mandates are managed in accordance with their investment guidelines) for the institutional fund management business of Schroders in the London office.
The role reports to a manager on the Portfolio Compliance Team (“PCT”). The team is part of the London Operational Risk and Portfolio Compliance Team, which reports into the Group Risk Team.
- Ensuring that investment guidelines are effectively monitored either using the compliance monitoring system or alternative processes.
- Assisting with the coding and review of investment restrictions.
- Updating data within the compliance monitoring system used to monitor guidelines.
- Provide advice on the validity of pre-trade alerts. In conjunction with the Compliance Teams globally, advise Fund Managers on the permissibility of investments generally.
- Undertaking the daily batch portfolio compliance monitoring process.
- Resolving client third party administrator and custodian queries regarding potential breaches.
- Providing periodic client portfolio compliance statements in a timely fashion to client service teams
- 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.
Desirable Qualifications and Skills:
- Degree or A-levels with equivalent on-the-job training in a portfolio compliance / investment guideline monitoring role.
- IMC, or similar, qualified.
- The working knowledge of investment restrictions monitoring capability in Charles River, Aladdin or other investment restrictions checking software.
- A working knowledge of the regulations relating to investment restrictions e.g. UCITS, INSPRU, Investment Companies Act 1940.
- A good understanding of investment management generally.
- Good communication skills both written and oral.
- Good negotiation and problem-solving skills.
- Ability to multi-task and prioritise in a fast paced environment.
- Self starter with a pro-active attitude who is able to work in collaboration with others as part of a team.
- Attention to detail and passion for quality and customer service.
- A good working knowledge of Excel.
- Experience of Bloomberg a plus.