Role Description

Team Lead.

Role Overview

As a Team Leader, 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.

We are looking for someone who likes working as part of a team, is comfortable with a fast-paced operations environment and has a strong attention to detail.

The key responsibilities of Portfolio Compliance Violations Lead

- Ensuring day to day BAU overnight monitoring is completed following processes and delivers expected outcomes

- Co-ordination and support of mandate onboarding and change

- Support of business teams to investigate and resolve queries What you'll do

- Lead a team responsible for Investment Restriction Compliance Management: violation oversight, onboarding and query resolution. Developing a high-performing team, fostering a collaborative and inclusive culture to drive exceptional results.

- Manage relationships with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues.

- Oversee and ensure completion of the daily tasks: eg provide advice and assist pre-trade violation overrides. Complete overnight monitoring; escalate and follow through issues appropriately. Support delivery as needed.

- Deliver mandate investment guideline on-boarding and change activities, supporting initial impact assessments and implementation of controls onto the Aladdin platform suitable to your level of experience. Review the control changes done by other team members.

- Support source document processing, identification, capture and fulfilment of commitments. These will be sourced from IMAs, regulations or internal teams etc.





- Ensure that queries received by the team are understood clearly and resolved to a high standard of quality and delivered within agreed service levels, continuously ensuring a robust and efficient control environment.

- Highlight and analyse gaps and troubleshoot errors and provide onward communication / training to message risks / gaps, propose cutting-edge tested solutions to resolve issues, implement consistency, best practice and enhance the control environment.

- Keep abreast of changes in the industry and regulations.

- 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.

- Oversee team training and development, ensuring procedures and materials are kept up to date. Effectively plan, prioritise and manage workloads across the team.

- Ensure that issues with service are fed back to the team and resolved.

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

- Represent the team in audit, regulator, and client queries or visits, coordinating requests and ensuring timely delivery of responses.

- Responsible for ensuring business controls are implemented and adhered to.

- Support Client Mandate Lifecycle Manager to identify risk, enhancements opportunities, provide team KPIs and lead/contribute to other key initiatives and projects as required.

- Act as an escalation point for the team.

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

- 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.

- nvolvement in projects and change initiatives is advantageous.

- Experience of the Asset Management industry and investment processes, in particular Investment Restrictions monitoring across a broad spectrum of investment products.

- Proficient in Excel, Word, PowerPoint, Aladdin (or equivalent), other Microsoft applications/tools and SQL.

- Knowledge of relevant investment restriction regulations e.g. UCITS, SFDR/SDR, MAS, HK MPF.

- - The ability to identify end-to-end process enhancements for efficiency gains and risk reduction. What you'll be like

- 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 and proactively seeks opportunities for improvement.

- Ability to learn quickly and apply new knowledge effectively.

- Responsible, diligent and willing to put in extra effort and hours to get things accomplished

- 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. This is key for reviewing documentation, ensuring compliance with regulatory standards, and accurately processing information.

- 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.

Skills

Asset Management, Microsoft Excel, Investment Management

📌 Lead I - PCVM_Team Lead (Chennai)
🏢 UST
📍 Chennai