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Lead I - Platform Control & Support - PCT

Lead I - Platform Control & Support - PCT

UST

7 - 10 years

8 - 12 Lacs

chennai

Posted:Just now| Platform:

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Skills Required

trading risk assessment process asset management policies interpersonal skills process optimization microsoft broker tools coordination sql setting excel operations stakeholder management stakeholder engagement desk word powerpoint communication skills

Work Mode

Work from Office

Job Type

Full Time

Job Description

Role Overview

PCT Team Leader

Key Responsibilities

Lead and mentor a team responsible for
investment restriction control implementation
,
mandate onboarding
, and
query resolution
.
Deliver and oversee
mandate investment guideline coding
, change impact assessments, and project activities while reviewing work of other team members.
Manage
overnight violation monitoring processes
, ensuring timely escalation and resolution.
Partner with
Investment Desks
,
Product Teams
, and
Client Executives
across all asset classes to provide advisory support on investment guideline compliance and pre-trade override processes.
Oversee the processing and fulfillment of commitments sourced from
IMAs
,
regulatory documents
, and internal teams.
Maintain and update
broker and ready-to-trade coding
in
Aladdin
, assisting
Trading Desks
with queries and escalations.
Collaborate with global teams and external vendors to promote best practices, standardization, and an enhanced control environment.
Resolve day-to-day operational queries, ensure delivery within agreed
SLAs
, and continuously maintain a robust control framework.
Support
audit
,
regulatory
, and
client
queries, ensuring accurate and timely responses.
Identify process gaps, troubleshoot errors, and provide communication/training to mitigate risks and implement process improvements.
Stay updated on
industry regulations
(UCITS, SFDR/SDR, MAS, HK MPF) and participate in regulatory impact assessments.
Lead or contribute to
projects and change initiatives
related to new markets, instruments, and mandates.
Coach, mentor, and train junior team members; maintain up-to-date operational procedures and documentation.
Support
departmental administration
and
BAU coverage
as needed to ensure seamless team operations.

Skills & Competencies

Proven experience in
Investment Restriction Compliance
,
Mandate Control Implementation
, and
Client Onboarding
within the Asset Management domain.
Strong knowledge of
broker coordination
,
trading desk processes
, and
Aladdin (or equivalent platforms)
.
Understanding of
regulatory compliance
frameworks: UCITS, SFDR/SDR, MAS, HK MPF, and other relevant investment regulations.
Proficient in
MS Excel, Word, PowerPoint, SQL
, and
Microsoft 365 tools
.
Excellent
policy-setting
,
risk assessment
, and
operational process optimization
skills.
Ability to
analyze data
,
identify process enhancements
, and drive efficiency and risk reduction.
Strong
stakeholder management
and
communication skills
, with experience influencing cross-functional teams.

What You'll Be Like

Excellent communicator with strong interpersonal and stakeholder engagement skills.
Proactive, analytical thinker with a solution-oriented mindset.
Highly organized and detail-focused, ensuring quality and accuracy in all deliverables.
Open-minded, adaptable to change, and committed to continuous improvement.
Self-motivated, collaborative, and driven to achieve team and organizational goals.
Demonstrates professionalism, resilience, and a passion for operational excellence.

Preferred Qualifications

Bachelor's degree in Finance, Business, Economics, or a related discipline.
8+ years of experience in
Asset Management Operations
or
Investment Compliance
, including leadership experience.
Experience working across
global markets (UK/APAC/US)
and familiarity with
multi-region regulatory environments
.

Required Skills

mandate control,Brocker and Trade desk coordination,Regulatory Compliance

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