Job
Description
Role Overview: As a Team Leader for the Platform Control & Violation Management (PCVM) team, you will be responsible for leading a high-performing team focused on Investment Restriction Compliance Management. Your role will involve managing key relationships with Investment Desks, Product, and Client Executives to ensure compliance with investment guidelines and maintain a robust control environment. You will need to bring strong leadership, technical expertise, and a risk management mindset to influence stakeholders and drive operational excellence across global teams. Key Responsibilities: - Lead and develop a global team responsible for managing investment restriction compliance, including violation oversight, onboarding, and query resolution. - Foster a collaborative, high-performance, and inclusive team culture. - Oversee daily deliverables such as pre-trade violation advice, overnight monitoring, and issue escalation/resolution. - Support mandate onboarding and guideline changes on the Aladdin platform, ensuring proper impact assessment and control implementation. - Review team output and maintain consistent quality standards across all regions. - 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 timely resolution of queries within agreed SLAs. - Identify, analyze, and resolve control gaps or process inefficiencies, proposing sustainable solutions. - 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. - 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. Qualification Required: - 5-8 years of experience in Investment Management, with a focus on 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 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 organizational and prioritization skills with a track record of meeting tight deadlines. - High level of accuracy, attention to detail, and commitment to delivering quality outcomes.,
