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Portfolio Compliance Lead Analyst 2

Closing date
23 Jun 2024

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Banking and Financial Services
Contract Type
Full Time

Job Details

Overview of Role/Principle Responsibilities

This role has the following principal responsibilities: We're looking for someone to join the Portfolio Compliance Oversight team in Singapore as a Portfolio Compliance Lead Analyst 2. The Portfolio Compliance Team is an essential part of the Schroder control environment, supporting Investment Teams to ensure effective pre and post trade mandate restriction monitoring.

It is a role where attention to detail, time management and good communication skills are critical. The Portfolio Compliance Lead Analyst 2 works closely with members of the Portfolio Compliance Team globally and also has regular contact across other teams in the business regionally.

The successful candidate will be someone willing to seize the opportunity and get the best out of being a member of this rapidly evolving team. Enthusiastic about improving processes, learning new skills and making a difference to the teams we support.

Key Responsibilities
  • Daily Review of overnight violations; escalate and follow through issues appropriately
  • Perform alternative monitoring for restrictions that cannot be coded in Aladdin and strive to automate or streamline the procedure where possible
  • Assist teams to override order or trade violations where necessary or appropriate
  • Maintain broker rules in Aladdin and assist Trading Desks with queries
  • Work closely with Fund Managers / Product / Client Executives on investment guidelines related matters and issues, and maintain good working relationships with them
  • Work closely with global coding and oversight teams to enhance the control environment
  • Provide advice on the validity of pre-trade alerts and explore ways to reduce unnecessary pre-trade noise
  • Assist in and/or lead audit/regulator/client queries and visits
  • New Account on-boarding activities including translating the investment guidelines into code using the Aladdin platform, and able to review the coding changes done by other team members
  • Review, update, test and troubleshoot errors, if any, on rules due to investment guidelines changes
  • 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
  • Analysis of gaps and provide onward communication / training to message risks / gaps, priorities and achievements
  • Proactively updates documentations and reviews tasks / Continuously challenging the BaU environment
  • Steward processes and change documentation to ensure approvals, sign-offs and change control can be easily audited.
  • Coach and mentor junior members of the team
  • Handle the departmental administrative matters together with the rest of the team
General skills
  • Good communication, written and spoken, and be able to connect with people
  • Strong overnight monitoring and problem-solving skills
  • Can connect the clear consistent emails with the violations
  • Good leadership skills and able to motivate and hold people accountable to deliver on commitments especially outside BAU
  • Able to align goals and attitude to Schroders values: Excellence, Innovation, Teamwork, Passion and Integrity
  • Organised, have good time management skills and able to prioritise given tasks
  • Ability to deliver complex information in a clear and concise way, both written and face to face
  • Care and diligence in reviewing overnight violations and the desire to make the way we do things more robust, scalable and efficient
  • Proactive approach to risk mitigation
  • Able to tap on past relevant experiences to handle novel issues
Technical Skills
  • 5 or more years' experience in performing investment guidelines monitoring in the investment management industry and of investment products
  • Working knowledge and understanding of the regulations relating to regulatory investment restrictions e.g. UCITS, 40s ACT, Canadian Pensions
  • Preferably experience in using Aladdin or any other guidelines monitoring systems, Refinitiv or Bloomberg
  • Proficient in MS Office such as Excel and Word.
Personal Attributes
  • Self-motivated and enthusiastic; with the ability to own and deliver solutions
  • Flexible, highly curious and willing to learn
  • A critical thinker who's able to look at things from different angles
  • Attention to detail with a passion for quality
  • Responsible, diligent and willing to put in extra effort and hours to get things accomplished
  • Desire to shape how we communicate with various Schroders teams and to build and manage efficient processes to deliver information
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.


As an investment manager we make decisions every day on behalf of savers and investors around the world. They depend on our broad investment expertise, across private and public markets to manage: £731.6 billion (€871.3 billion/$990.9 billion)* of wealth and investments. We help them achieve their long-term financial goals – and make a positive impact in the world.


Over the years, we’ve perfected investing in our people

We’ve built a stellar reputation for our work and unique culture. Our secret? We’ve picked the best people for the job, and given them the opportunities and tools to thrive.

So it’s no surprise that 96% of us say that we’re proud to work at Schroders. And why we repeatedly have made it into LinkedIn’s top 25 places to work.

You don’t just get a job here – you can fulfil your career ambitions

Once you’re part of our team, our global learning and mentoring platforms help you hone your expertise and keep developing. We’re big on mobility – so many people find their next job at Schroders, too, moving up and across the business to build a fulfilling career.

Inclusion is more than a buzz word

It’s part of everything we do. We’ve built a culture where people can bring their whole selves to work, and we welcome unique perspectives. We also set trackable goals to improve representation across the board wherever we fall short.

We’ve made inclusion a conscious choice at every step

Our vision is for our people to reflect the diversity of the communities we live and work in. And for everyone to feel they truly belong at Schroders.

Our industry-leading flexible working charter is central to inclusion, opening up opportunities for everyone. We shape our recruitment and retention processes to help spot and reduce the impact of biases, and create a level playing field for underrepresented groups, for example through mentoring schemes. And we constantly review our policies and benefits to make sure they are fair and supportive of our diverse teams.

We take a local-led approach to improving inclusivity

Everyone’s at a different stage of their inclusion journey – with cultural and local practices to consider. So we listen to our employees through pulse surveys and collect diversity data so we can identify areas for improvement, and maximise impact through local initiatives.

Our partnerships - such as with RecruitMilitary in the US, the Technology in Finance Immersion Programme in Singapore, and the Investment 20/20 in the UK, to name a few - broaden our outreach and help us create a lasting impact.

Driving inclusion at Schroders**

As a Disability Confident employer and a member of the global Valuable 500 initiative, we’ve partnered with a disability-specialist organisation to conduct an audit and provide recommendations on how to make our recruitment processes more accessible to potential candidates with a disability.

We’re excited to continue our partnership with the Snowdon Trust following the success of our first paid work placements for individuals with a disability in February 2021.

Our passionate people lead the way

Our employee-led inclusion networks support our grassroots approach to building an inclusive culture. These create space for networking, celebrating our differences, and raising awareness of challenges that under-represented groups face.

Our WorkAbility employee-led inclusion network aims to educate employees, champion accessibility, and provide a supporting network for those affected by disability or long-term health conditions.

Case Study

Claudia Buffini, Corporate Responsibility Advisor, who was born profoundly deaf. Claudia’s role involves working with many different charities, championing causes she’s really passionate about and embedding a culture of inclusion.

So who better to tell us about why inclusion matters and how she feels included in the workplace. Watch the one minute video:

Transparency around our progress holds us to account

Inclusion is everyone’s business. There’s still a long way to go, so we use what we know to help the firms we invest in to accelerate change together across the industry and beyond. It’s important for us to be open about the high standards we set for ourselves, and to hold the companies we invest in to account.

And we offer a world of wellbeing at work

Looking after our people is always first on our list. We hold regular events supporting mental and physical wellness. And our global employee assistance programme is on hand offering free, independent, and confidential support.

And we offer flexible working and locally-relevant benefits

At Schroders, everyone works flexibly and has access to our global learning platforms and opportunities and our best-practice framework for mental health and wellbeing at work. We are also constantly reviewing and evolving our policies to suit an ever-changing set of needs and family set–ups.

We’re recognised for our inclusive workplace

We’re proud to be recognised as Large Employer of the Year at the prestigious FTAdviser Diversity in Finance Awards, and are continually included in the Bloomberg Gender Equality Index and among the Top 75 employers of the Social Mobility Index.

Hear from our people about how we are continuing to create a more inclusive workplace at Schroders.

Find out more about working at Schroders.

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