At a Glance
- Tasks: Support investment management by assessing compliance and managing commitments across platforms.
- Company: Dynamic investment firm prioritising client experience and innovation.
- Benefits: Inclusive culture, professional growth, and opportunities to work with cutting-edge technology.
- Other info: Join a team that values diversity and continuous improvement in a fast-paced environment.
- Why this job: Make a real impact in investment management while collaborating with diverse teams.
- Qualifications: Proficient in Excel and SQL, with strong communication and problem-solving skills.
The predicted salary is between 50000 - 60000 £ per year.
The Commitment Control & Support team is responsible for ensuring robust control and oversight of all mandate and investment management related commitments across our platforms. This role supports the effective assessment, management, and governance of commitments arising from regulatory, legal, and operational requirements. The team prioritises client experience, risk reduction and efficiency, maximising reuse of platform capabilities and driving standardisation.
What You’ll Do
- You will assist with conducting detailed impact assessments of new and existing mandates, analysing compliance and operational implications as well as risks.
- The role requires close collaboration with teams such as Mandate & Broker Control, Operating Model Impact Assessment, Product Owners, and Platform Services to ensure commitments are accurately captured and fulfilled.
- You will use your expertise in investment restrictions and data analytics to help implement and maintain control standards, resolve complex queries, and drive continuous process improvement.
- Work within a team responsible for mandate investment management related control implementation, governance and query resolution, and risk assessment.
- Act as a subject matter expert and primary point of contact for investment teams, product, and client executives regarding investment guideline matters.
- This will involve the Interpretation, Initial Impact Assessment, Commitment Fulfilment, and Coding Implementation of client, legal, regulatory, and internal investment restriction documents.
- Support mandate onboarding and change activities in relation to investment guidelines.
- Oversee and review processes done by other teams and team members, and ensure adherence to policies and procedure.
- Able to understand the oversight of investment mandate restrictions using monitoring platforms (primarily Aladdin).
- Triage and resolve complex compliance queries, escalate breaches appropriately, and ensure timely and effective incident management.
- Demonstrate a proactive approach to improvement by adopting new ideas and emerging technologies—including artificial intelligence, coding, and digital tools.
- Seek opportunities to enhance processes and outcomes through continuous learning, innovation, and the implementation of best practices.
- Aid collaboration to implement consistency, best practice and enhance the commitment capture and platform control environment.
- Highlight, resolve gaps and provide onward communication / training, continuously ensuring a robust and efficient platform control environment.
- Assist in audit/regulator/client queries and visit coordination.
- Keep abreast of changes in the industry and regulations.
- Participate in projects and working groups relating to new markets, instruments and mandates in order to assess the impact on platform delivery.
- Work with Platform Services teams (especially Mandate & Broker Onboarding) to design the optimal support model and operational set up for the client/ fund / product.
Qualifications
- Proficient in Excel, SQL.
- Experience with Word, PowerPoint, Aladdin (or equivalent), Microsoft applications.
- Ability to communicate at all levels, both written and orally.
- Problem‑solving, open‑minded attitude to change and new ideas.
- Adaptability and flexibility in response to changing circumstances.
- Relationship management / teamwork.
- Strong organisational and prioritisation skills, with the ability to manage competing demands and deliver to tight deadlines.
- Meticulous attention to detail and a focus on quality and accuracy in all outputs.
- Results‑oriented, self‑motivated, and enthusiastic.
- Receptive to feedback, challenges the status quo, and proactively seeks opportunities for improvement.
- Thrives in a team environment, working towards a collective goal, taking joint accountability for team goals and objectives.
Equal Opportunity Employment
Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, allows us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio‑economic background, or any other protected characteristic.
Portfolio Compliance and Support Lead Analyst 2 employer: Schroders
As a Portfolio Compliance and Support Lead Analyst 2, you will thrive in a dynamic environment that prioritises client experience and risk reduction while fostering a culture of continuous improvement and innovation. Our commitment to diversity and inclusion ensures that every employee feels valued and empowered, providing ample opportunities for professional growth and collaboration across teams. Located in a vibrant area, we offer a supportive work culture that encourages the adoption of new technologies and best practices, making us an exceptional employer for those seeking meaningful and rewarding careers.
StudySmarter Expert Advice🤫
We think this is how you could land Portfolio Compliance and Support Lead Analyst 2
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Schroders looking for candidates who are engaged and informed.
We think you need these skills to ace Portfolio Compliance and Support Lead Analyst 2
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Schroders. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Schroders
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Schroders’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
