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 solid 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

📌 Lead I (Chennai)
🏢 UST
📍 Chennai