Role Description
Job Title:
Platform Control & Support – PCT Senior Analyst
Shift:
UK / APAC / US
Overview Of The Role
As a
Senior Analyst
within the
Platform Control & Support (PCT)
team, you will play a critical role in maintaining a robust control environment and supporting investment teams in ensuring effective
pre- and post-trade mandate restriction monitoring
. You will act as a
subject matter expert
, leading the oversight and delivery of complex control activities, handling escalations, and managing ad-hoc requests.This role is suited for a professional with solid experience in
Investment Management Operations
or
Compliance Monitoring
, who thrives in a fast-paced, collaborative environment and demonstrates exceptional attention to detail and accountability.
Key Responsibilities
Operational Oversight
- Manage and deliver Investment Restriction Compliance Management processes, including control implementation, mandate onboarding, and query resolution.
- Oversee mandate investment guideline control implementation, including impact assessments, control changes, and related projects.
- Review and validate coding changes performed by team members to ensure accuracy and compliance.
- Support daily violation monitoring, ensuring timely escalation and resolution.
- Provide pre-trade override advice to investment teams, ensuring appropriate documentation and control validation.
Stakeholder Engagement
- Collaborate with Investment Desks, Product Teams, and Client Executives across all asset classes on guideline-related matters.
- Coordinate with external vendors and global Schroders teams to promote best practices and consistency.
- Support audit, regulatory, and client queries, ensuring accurate and timely delivery of responses.
Control & Process Management
- Assist in source document processing, identifying and capturing commitments from IMAs, regulatory requirements, or internal sources.
- Maintain broker and ready-to-trade coding in Aladdin, supporting trading desks with queries and escalations.
- Identify, analyse, and communicate control gaps, propose enhancements, and contribute to the continuous improvement of the control environment.
- Keep abreast of regulatory and industry changes, ensuring controls remain effective and compliant.
Leadership & Mentorship
- Coach, mentor, and train junior analysts, supporting their professional development and ensuring procedures and materials remain up to date.
- Lead or contribute to projects and working groups focused on new markets, instruments, or mandate changes.
- Support the team in BAU activities, ensuring continuity and quality of service delivery.
- Promote a collaborative, inclusive, and high-performing team culture.
Must-Have Skills
- 5+ years of experience in the Asset Management industry, preferably in Investment Restriction Compliance, Mandate Implementation, or Investment Operations.
- Strong understanding of mandate lifecycle processes, legal documentation, and investment guideline controls.
- Practical knowledge of investment restrictions regulations, such as UCITS, SFDR/SDR, or other regional equivalents.
- Hands-on experience with Aladdin or similar portfolio compliance/monitoring systems.
- Advanced proficiency in Microsoft Excel and working knowledge of Word, PowerPoint, and SQL.
- Proven risk management and control assessment skills.
- Excellent communication and stakeholder management capabilities.
- Strong analytical and problem-solving mindset with meticulous attention to detail.
- Ability to manage multiple priorities and deliver within tight deadlines.
- Demonstrated experience mentoring or coaching junior colleagues.
Good-to-Have Skills
- Exposure to automation initiatives, data analytics, or process improvement within investment operations.
- Understanding of global regulatory frameworks beyond UCITS (e.g., MAS, HK MPF, SEC).
- Familiarity with fund structures, performance reporting, or risk management frameworks.
- Experience in cross-functional projects, system migrations, or platform enhancements.
- Knowledge of SQL, Power BI, or Tableau for reporting and analysis.
- Prior experience working across multiple time zones or global teams.
- Awareness of emerging technologies in compliance monitoring and investment operations.
What You’ll Be Like
- Highly organised, analytical, and detail-focused.
- A proactive problem-solver who embraces change and seeks continuous improvement.
- Effective communicator who builds strong relationships across teams and levels.
- Results-driven, accountable, and committed to high-quality delivery.
- Positive and collaborative, fostering teamwork and inclusivity.
- Adaptable to changing business demands and regulatory environments.
- Self-motivated and enthusiastic, with a passion for excellence and client service.
Skills
Mandate life cycle,Legal and regulations,Investment Management
