The Business Area:
The Platform Control and Support function within the Global Operating Platform plays a pivotal role in governing, assessing, enabling, and supporting change across the investment operational platform. This involves ensuring that operational and regulatory controls remain robust while the business adapts to new products, processes, technologies, and market demands.
The objective of the team:
- Risk Reduction: Ensures platform stability and minimises the risk of operational incidents or regulatory breaches.
- Client Experience: Supports seamless client onboarding, smooth operational events, and high service standards.
- Efficiency: Drives process standardisation, automation, and continual improvement.
The Mandate and Broker Control team report globally to the Head of the Platform Control and Support with the regional team reporting into Head of the Platform Control and Support, Asia Pacific.
A dedicated team, the Mandate and Broker Control team plays a critical governance, oversight and facilitation role during broker onboarding, Client/Fund mandate and Fund implementation, and ongoing change events. Sitting within Platform Control and Support, the team will assess all new Mandate and Broker change requests taking into the operational service catalogue, operational controls, compliance requirements, and data integrity. Partnering with key stakeholders across the business, the team will need to leverage their sound knowledge of fund accounting, asset management, and custody operations, to coordinate the introduction of new Client and Fund mandates in a seamless and efficient fashion. This includes coordinating events across external stakeholders: custodians, brokers, administrators, and investment managers.
Key Responsibilities:
Stakeholder Management
- Act as a central point of contact between the Investment, Client Group, Legal, Compliance, Brokers, and Custodians for onboarding and change-related queries or incidents.
- Work with Legal, Compliance, Investment teams, and Operations to implement mandate amendments, strategy changes, or new product launches.
- Coordinate impact assessments for major mandate or product changes, ensuring updates to operational procedures, compliance checks, and reporting routines, where applicable.
Broker Onboarding Assessment and Management
- Stakeholder management - Coordinate and manage new requests
- Demonstrate knowledge and understanding when assessing operational, regulatory and static data requirements (i.e. LEI codes, ISDAs)
End-to-End Complex Event Assessment and Management
- Coordinate and manage all aspects of asset transitions, including planning, implementation, reconciliation, and project closure.
- Liaise with internal Global Platform Services Onboarding team, Client Group, Legal, Compliance, external clients, investment managers, brokers, custodians, third-party administrators and other relevant stakeholders as required.
Knowledge, experience and qualifications that would assist the Role:
- 5-10 years experience in custody operations, asset transitions, fund accounting, or asset management.
- Business Technical Knowledge: Good asset management overall knowledge with a strong understanding of derivative products and more complex markets, platform operations including onboarding requirements and day to day capabilities being set up, regulatory and legal framework awareness and understanding of service catalogues and core capabilities
- Communication: Proficient in both written and verbal communication for clearly conveying information, understanding client needs and interpreting feedback from stakeholders.
- Stakeholder Engagement: Strong interpersonal skills to build rapport and nurture long-term relationships
- Attention to detail: accuracy in handling information, communications, and compliance throughout an event, reducing the risk of errors. High attention to detail and accuracy, particularly in data management, mandate data maintenance, and documentation. Proactive in identifying and implementing and maintaining operational controls and guidelines.
- Organisational Skills: The capability to manage multiple requests and projects simultaneously, ensuring that tasks are prioritised and completed promptly.
- Analytical Thinking & Problem Solving: Requirement collation, legal/regulatory analysis, understanding and leading problem solving where events more complex, Being able to identify and resolve issues or challenges efficiently.
- Adaptability/Flexibility: Being open to changing circumstances and able to modify approaches as necessary to meet diverse needs and priorities.
- Innovation and continuous improvement: Demonstrates a proactive approach to improvement by adopting new ideas and technologies, including artificial intelligence, coding, and emerging digital technologies such as blockchain. Seeks opportunities to enhance processes and outcomes through continuous learning and innovation.
- Degree in Finance, Accountancy, Business, or related discipline relevant professional qualifications (e.g., CFA, CAIA, CPA).
Preferred:
- Experience with large-scale portfolio transitions or client onboarding.
- Exposure to APAC markets and related regulatory/compliance frameworks.
- Broad understanding of the different Institutional Client types (e.g. Pension Schemes, Insurance, Sub Advisory, Corporates, Central Banks, Sovereign Wealth Funds)
- Familiarity with current Regulatory requirements such as : EMIR, Dodd Frank, MAS, ASIC, MiFID II, FATCA, CRS together with a good understanding of KYC and AML requirements,
- Broad understanding of the key third party operational requirements: covering Custodian, Transfer Agency, Fund Administration, Derivatives
- Confidence to challenge existing strategies, policies, procedures and input into any strategic change initiatives
- Strong working knowledge of MS applications: Excel, Word, PowerPoint, and ideally Client Lifecycle Management Applications
- Confidence to lead project calls and/or meetings with internal and external stakeholders
