Investment Compliance & Risk Team Lead

JOB ROLE

Job Title:

Investment Compliance & Risk Team Lead

Reporting to:
Head - Investment Compliance & Risk

Salary:
Excellent, depends on experience

Contract:

Permanent, Full Time

Location:

Belfast, Northern Ireland

About us:

Funds-Axis’ Mission is to be routinely identified as a leading trusted provider of global funds technology to the Investment Management industry. Our Vision is to transform the industry approach to investment compliance, risk, and regulatory reporting by offering a highly efficient and secure, multi-modular technology platform backed up by the highest levels of expert regulatory support and service.

Our clients are leading global asset managers, administrators, and depositary banks. This market is growing strongly, reflecting increasing regulatory demands and the need for technology solutions.

Our Core Values and Company Culture revolves around Innovation through Collaboration, Expertise, and Pride in our Excellence of Service, Trust, and Integrity.

As a result of continued growth, we are actively recruiting an ambitious, sociable, intelligent Executive Assistant with initiative, a strong work ethic, excellent communication skills, and analytical skills.

It is our ambition to substantially grow our business internationally over the coming years.

Purpose of Job:

To lead and have management oversight of your team’s Investment Compliance & Risk operations, and to give assurance that BAU activities are being performed in accordance with the Firm’s organizational governance framework.

You will be adaptable and hard-working and demonstrate strong communication skills both in relation with your team and with the wider Funds-Axis business.

You will deliver the support and the operational excellence in accordance with the Company Mission and Vision, and in a manner supportive of the Funds-Axis Values and Business Culture.

Role Overview:

Main Responsibilities:

Manage and control the work of your team:

Key Responsibilities:

1. Team Leadership, Support & Performance Management

• Ensuring staff avail of all training resources provided.
• Advising the Risk & Compliance Manager of any ongoing training requirements on the team.
• Identifying and escalating resourcing gaps on your team.
• Referring HR and disciplinary issues to your Line Manager.
• Providing advice, guidance, and support to the team members on the team.
• Holding regular meetings with them collectively and schedule one-to-ones where appropriate to understand any technical issues arising and elevate these where appropriate.
• Schedule team training and support your team in delivering this, ensuring this remains appropriate to their training requirements and active participation by all team members.

2. Internal Governance/Operational Excellence

• Provision of transparent monthly highlight reports, including:
• SLA compliance
• Open Breaches
• Open Client Queries
• Data Quality
• Staff Utilisation
• Efficiency/Improvements
• Other team issues (e.g. resourcing)
• Ensure all BAU procedures are available to your team and, where appropriate, report to the Risk & Compliance Manager where…