Role Description
Role Overview
We are seeking a dynamic and experienced
PCT Team Leader
to oversee
Investment Restriction Compliance Management
, mandate control implementation, and investment guideline governance across multiple regions. The ideal candidate will lead a team responsible for onboarding, coding, query resolution, and control implementation, ensuring accuracy, efficiency, and adherence to global regulatory standards.
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.
Skills
mandate control,Brocker and Trade desk coordination,Regulatory Compliance
