Senior Manager - Investment Compliance Coding

Description:
To provide customer service to both internal and external customers

- Ensure own work is completed to a high level of accuracy within service level agreements, to achieve regulatory targets

- Maintain and implement personal development plan in partnership with immediate manager

- Identify, facilitate and implement process improvement ideas to improve efficiency.

- Keep own knowledge up to date in relation to servicing/processing/compliance activities

- Execute non-standard cases and manual work that cannot be processed on standard systems.

- Learn all the skills and knowledge that would cover a broad range of servicing activities across regulated products.

- Identify customer needs, providing assistance / information and capturing essential details on the system thereby enabling other departments to fulfil the customer requirements.

- To demonstrate a positive risk, compliance and control culture through the identification, assessment, monitoring and management of risks and issues within the business area, alongside ensuring timely and appropriate resolution of control weaknesses, actions and failures that arise.
- To achieve and maintain required level of competency as per the training and competency framework.

- Will also be responsible for sending template letters to customers and at times creating free-form letters to respond to customer queries.

- Handle calls to ceding companies or internal departments within UK if required for some work type.
Key Responsibilities:
- Provide expert-level guidance on investment compliance matters to internal and external stakeholders.
- Lead, coach, and guide a team of compliance analysts and managers. Ensure timely delivery of daily BAU tasks and ad-hoc client requests.
- Process Improvement & Risk Mitigation
- Focus on solving complex technical requests for global clients, interpreting investment mandates to identify and code rules, and possessing or quickly acquiring knowledge of various financial instruments, including derivatives.
- Serve as a change agent by providing technical expertise for key compliance reporting projects, offering a comprehensive view of rule coding and identifying any breaches.
- Strong understanding of ESG guidelines and frameworks.
- Ensure the effectiveness and accuracy of existing rules by analysing regulatory and client guidelines and facilitate the coding of relevant rules within Aladdin's order management system.
- Address client-specific requirements to deliver tailored solutions that meet unique objectives.
- Collaborate with BlackRock Solutions to resolve Aladdin system issues and manage requirements, including maintaining the coding approvers table.
- Support fund managers by responding to queries related to pre- and post-trade rules and exceptions.
- Partner with various operations teams to enhance data availability and improve the quality of underlying data.
- Able to provide a four-eye check of the rule coded, whether it is working properly and resultant breaches if any.
- Providing innovative solutions to client requirements (including coding the Compliance Reporting application) in sync with optimization of the rule library in place.
- Can appreciate specific client nuances successfully and provide an appropriate & optimal solution to meet objectives.
- Maintaining existing fund "rules" within the system and tailoring available solutions to the changing needs of the client in a timely manner.
- To provide customer service to both internal and external customers

- Ensure own work is completed to a high level of accuracy within service level agreements, to achieve regulatory targets

- Maintain and implement personal development plan in partnership with immediate manager

- Identify, facilitate and implement process improvement ideas to improve efficiency.

- Keep own knowledge up to date in relation to servicing/processing/compliance activities

- Execute non-standard cases and manual work that cannot be processed on standard systems.

- Learn all the skills and knowledge that would cover a broad range of servicing activities across regulated products.

- Identify customer needs, providing assistance / information and capturing essential details on the system thereby enabling other departments to fulfil the customer requirements.

- To demonstrate a positive risk, compliance and control culture through the identification, assessment, monitoring and management of risks and issues within the business area, alongside ensuring timely and appropriate resolution of control weaknesses, actions and failures that arise.

- To achieve and maintain required level of competency as per the training and competency framework.
- Responsible for the day to day pre sales administration for PFP and servicing of Retirement Account customers
Classification : Internal
- Responsible for updating details on various systems Will also be responsible for sending template letters to customers and at times creating free-form letters to respond to customer queries. Handle calls to ceding companies or internal departments within UK if required for some work type