Associate III

Job Title: Platform Control & Support - PCT Senior Analyst

Shift: UK / APAC / US

Overview of the Role

As a Senior Analyst within the Platform Control & Support (PCT) team, you will play a critical role in maintaining a robust control environment and supporting investment teams in ensuring effective pre- and post-trade mandate restriction monitoring. You will act as a subject matter expert, leading the oversight and delivery of complex control activities, handling escalations, and managing ad-hoc requests.

This role is suited for a professional with solid experience in Investment Management Operations or Compliance Monitoring, who thrives in a fast-paced, collaborative environment and demonstrates exceptional attention to detail and accountability.

Key Responsibilities Operational Oversight

• Manage and deliver Investment Restriction Compliance Management processes, including control implementation, mandate onboarding, and query resolution.
• Oversee mandate investment guideline control implementation, including impact assessments, control changes, and related projects.
• Review and validate coding changes performed by team members to ensure accuracy and compliance.
• Support daily violation monitoring, ensuring timely escalation and resolution.
• Provide pre-trade override advice to investment teams, ensuring appropriate documentation and control validation.

Stakeholder Engagement

• Collaborate with Investment Desks, Product Teams, and Client Executives across all asset classes on guideline-related matters.
• Coordinate with external vendors and global Schroders teams to promote best practices and consistency.
• Support audit, regulatory, and client queries, ensuring accurate and timely delivery of responses.

Control & Process Management

• Assist in source document processing, identifying and capturing commitments from IMAs, regulatory requirements, or internal sources.
• Maintain broker and ready-to-trade coding in Aladdin, supporting trading desks with queries and escalations.
• Identify, analyse, and communicate control gaps, propose enhancements, and contribute to the continuous improvement of the control environment.
• Keep abreast of regulatory and industry changes, ensuring controls remain effective and compliant.

Leadership & Mentorship

• Coach, mentor, and train junior analysts, supporting their professional development and ensuring procedures and materials remain up to date.
• Lead or contribute to projects and working groups focused on new markets, instruments, or mandate changes.
• Support the team in BAU activities, ensuring continuity and quality of service delivery.
• Promote a collaborative, inclusive, and high-performing team culture.

Must-Have Skills

• 5+ years of experience in the Asset Management industry, preferably in Investment Restriction Compliance, Mandate Implementation, or Investment Operations.
• Strong understanding of mandate lifecycle processes, legal documentation, and investment guideline controls.
• Practical knowledge of investment restrictions regulations, such as UCITS, SFDR/SDR, or other regional equivalents.
• Hands-on experience with Aladdin or similar portfolio compliance/monitoring systems.
• Advanced proficiency in Microsoft Excel and working knowledge of Word, PowerPoint, and SQL.
• Proven risk management and control assessment skills.
• Excellent communication and stakeholder management capabilities.
• Strong analytical and problem-solving mindset with meticulous attention to detail.
• Ability to manage multiple priorities and deliver within tight deadlines.
• Demonstrated experience mentoring or coaching junior colleagues.

Good-to-Have Skills

• Exposure to automation initiatives, data analytics, or process improvement within investment operations.
• Understanding of global regulatory frameworks beyond UCITS (e.g., MAS, HK MPF, SEC).
• Familiarity with fund structures, performance reporting, or risk management frameworks.
• Experience in cross-functional projects, system migrations, or platform enhancements.
• Knowledge of SQL, Power BI, or Tableau for reporting and analysis.
• Prior experience working across multiple time zones or global teams.
• Awareness of emerging technologies in compliance monitoring and investment operations.

What You'll Be Like

• Highly organised, analytical, and detail-focused.
• A proactive problem-solver who embraces change and seeks continuous improvement.
• Effective communicator who builds strong relationships across teams and levels.
• Results-driven, accountable, and committed to high-quality delivery.
• Positive and collaborative, fostering teamwork and inclusivity.
• Adaptable to changing business demands and regulatory environments.
• Self-motivated and enthusiastic, with a passion for excellence and client service.

Required Skills

Mandate life cycle,Legal and regulations,Investment Management