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 teams Investment Compliance & Risk operations, and to give assurance that BAU activities are being performed in accordance with the Firms 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 :
Deliver dynamic and robust Business as Usual leadership. Responsible for conduct of internal processes. Promote operational excellence within your team. Provide leadership and support to your team members and the wider BAU team. Proactively identify gaps and training needs

Main Responsibilities:

Manage and control the work of your team:
Provide appropriate support to your team with client queries and issues that arise. Ensure the Rules Processing SLA for your team meets the 90% target and the Dashboards SLA for your team meets the 85% target. Ensure delivery of excellent customer service including evidence using workflow management tools in line with Funds-Axis policies. Ensure the highest standard of client relationship management by participating in weekly and monthly calls in with Funds-Axis client governance policies.

Excluding annual leave or an agreed cancellation, you are to attend 100% of these calls. Ensure appropriate resourcing is available on the team to deliver continued excellent customer service. Ensure detailed MI is delivered to the Investment Compliance & Risk Manager. Provide support for efficiency and automation projects. Provide support for client onboardings

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 your team. Holding regular meetings with them collectively and schedule one-to-ones where appropriate to understand any technical issues arising and escalate 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…