Role Description
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
Skills
mandate lifecycle,Legal and regulation,Investment management
