Job
Description
Role Overview: You are an experienced and proactive Team Leader joining the Platform Control & Violation Management (PCVM) team at a global digital transformation solutions provider. Your 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. Your strong leadership, technical expertise, and risk management mindset will enable you to influence stakeholders and drive operational excellence across global teams. Key Responsibilities: - 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. - 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, 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, 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. Qualification Required: - 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 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.,
