Funds-Axis
Investment Compliance & Risk Team Lead
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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
- 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.
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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 Risk & Compliance Manager where these require updating or supplemented.
- Ensure your team ZOHO Issues logs are maintained up to date.
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3. Projects Team Liaison
- You will assist your team in identifying where clients require additional support above and beyond the business as usual support.
- You will raise these with the Head of Projects to cost, resource and delegate to the projects team. You will not be involved in the project’s workflow other than identifying and escalating project opportunities.
4. Relationship Manager's Liaison
- You will ensure detailed Risk & Compliance MI is being delivered to the Relationship Managers and your Line Manager, as appropriate.
- You will ensure the highest standard of client relationship management by participating in all HighWire Risk & Compliance demonstration calls, in line with Funds-Axis’ client governance policies.
- You will provide the highest standard of Risk & Compliance Subject Matter Expert (SME) advice to the Relationship Managers and clients, including follow-up correspondence re: Risk & Compliance issues/questions raised.
- Referring any client requests for additional modules to the Relationship Managers to take forward.
Why Work With Us?
In return for your contribution, we offer:
- 33 days’ vacation leave per year (including bank holidays).
- 5.5% employer pension contribution (UK).
- Healthcare and life assurance (UK).
- Hybrid working flexibility (with office presence required).
- Opportunities to travel within NI and to UK/International events.
- First-class training and personal development.
- Exposure to leading global financial organisations.
- Excellent long-term career progression in the RegTech sector.
- A supportive, friendly, and ambitious team environment.
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