Lead I - Platform Control & Support – PCVM Team Leader

Job Title: Platform Control & Support – PCVM Team Leader

Shift: UK / APAC / US

Overview of the Role

We are seeking an experienced and proactive Team Leader to join the Platform Control & Violation Management (PCVM) team. This role involves leading a high-performing team responsible for Investment Restriction Compliance Management, including violation oversight, guideline onboarding, and query resolution.

You will manage key relationships with Investment Desks, Product, and Client Executives across all asset classes, ensuring compliance with investment guidelines and maintaining a robust control environment. The successful candidate will bring strong leadership, technical expertise, and a risk management mindset, with the ability to influence stakeholders and drive operational excellence across global teams.

Key Responsibilities

Team Leadership & Oversight

• Lead and develop a global team managing investment restriction compliance, including violation oversight, onboarding, and query resolution.

• Foster a collaborative, high-performance, and inclusive team culture.

• Oversee daily deliverables including pre-trade violation advice, overnight monitoring, and issue escalation/resolution.

• Support mandate onboarding and guideline changes, ensuring proper impact assessment and control implementation on the Aladdin platform.

• Review team output and ensure consistent quality standards across all regions.

Process & Control Management

• Maintain and enhance the control framework for compliance management, ensuring accuracy, efficiency, and adherence to business controls.

• Manage source document processing, including identification and capture of commitments from IMAs, regulations, and internal sources.

• Ensure queries are resolved to a high standard and within agreed SLAs.

• Identify, analyse, and resolve control gaps or process inefficiencies, proposing sustainable solutions.

Stakeholder Engagement & Projects

• Act as a key liaison with Investment Desks, Product Teams, and Client Executives on guideline-related matters.

• Represent the team in audits, regulatory reviews, and client meetings, ensuring timely and accurate responses.

• Collaborate with global coding and oversight teams to maintain best practices and process consistency.

• Participate or lead projects and working groups related to new markets, instruments, or mandates.

• Provide KPI reporting, identify risks, and support strategic initiatives led by the Client Mandate Lifecycle Manager.

Training & Development

• Oversee team training, maintaining up-to-date procedural materials.

• Coach, mentor, and support junior and mid-level analysts.

• Promote professional growth, continuous learning, and operational excellence.

Must-Have Skills

• 5–8+ years of experience in Investment Management, with strong exposure to Investment Restrictions Monitoring or Compliance Operations.

• Proven leadership experience managing teams across multiple regions/time zones.

• Solid understanding of fund structures, mandate lifecycle management, and investment guidelines.

• Knowledge of key regulatory frameworks such as UCITS, SFDR/SDR, MAS, and HK MPF.

• Hands-on experience with Aladdin (or equivalent portfolio management systems).

• Proficiency in Microsoft Excel, Word, PowerPoint, and SQL for data analysis and reporting.

• Strong risk management, policy-setting, and control assessment capabilities.

• Excellent communication and interpersonal skills, with the ability to engage and influence at senior levels.

• Strong organisational and prioritisation skills, with a track record of meeting tight deadlines.

• High level of accuracy, attention to detail, and commitment to delivering quality outcomes.

Good-to-Have Skills

• Experience in process automation, data analytics, or technology-driven improvements.

• Exposure to performance and regulatory reporting processes.

• Familiarity with legal documentation such as IMAs, prospectuses, and client agreements.

• Experience leading cross-functional projects or contributing to system migrations.

• Knowledge of fund accounting, portfolio compliance tools, or risk monitoring frameworks.

• Ability to identify and implement efficiency and risk-reduction initiatives.

• Prior experience working with global teams and managing multi-jurisdictional compliance requirements.

What You’ll Be Like

• A confident leader who inspires and develops others.

• Analytical, detail-oriented, and highly organised.

• Proactive, results-driven, and adaptable to change.

• Creative problem-solver who seeks out opportunities for improvement.

• Strong collaborator who values teamwork and shared success.

• Professional, dependable, and committed to excellence.

• Open to feedback and eager to foster innovation within the team.

Skills Keywords:

Mandate Lifecycle | Legal & Regulatory Compliance | Investment Management | Risk Control | Aladdin | Team Leadership | Fund Governance | Process Improvement | Investment Restrictions