Strategy, Operating Model & Governance:

- Set the strategy and multi-year roadmap for Investment Compliance (coding + monitoring + governance) and Controls Monitoring, aligned to the Asset Management operating model, risk appetite, and control framework.

- Establish and own the global operating standards for mandate interpretation, rule taxonomy, evidence and documentation, breach workflows, and escalation thresholds.

- Lead governance routines, executive updates, and risk forums; provide clear MI and insights on compliance health, emerging risks, and remediation progress.

- Act as the senior control owner for Investment Compliance processes, ensuring appropriate design effectiveness and sustainable oversight.

- Oversee fund/portfolio onboarding and mandate change implementation end-to-end: interpretation - rule specification - coding - testing - go-live assurance.

- Drive consistent interpretation of prospectus, IMAs, retail product constraints, and house restrictions, ensuring controls are implemented accurately in systems to enable effective monitoring.

- Sponsor simplification/standardisation initiatives to reduce complexity, improve rule reusability, and shorten time-to-onboard.

- Oversee the operational performance and control outcomes of pre-trade and post-trade guideline monitoring (automated and manual where required).

- Ensure robust breach investigation, root-cause analysis, timely escalation, and closure discipline with clear accountability across front office, investment operations, and product.

- Maintain a strong control environment to manage complex instruments and strategies (derivatives, structured products, private assets where applicable) and evolving ESG/sustainability constraints.

- Oversee the team's control monitoring and market abuse monitoring outcomes.

- Ensure monitoring is robust, complete and accurate.

- Ensure escalations from monitoring are being taking forward by stakeholders.

- Ensure regular review of monitoring thresholds with suitable governance.

- Serve as primary senior contact for audits, assurance reviews, control testing, and escalations, ensuring high-quality responses and remediation plans.

- Build a proactive regulatory change capability: assess impact, translate requirements into controls/rules, and track implementation across systems and processes.

- Drive continuous improvements to strengthen preventative controls, reduce repeats, and enhance transparency and traceability.

- Sponsor technology improvements across investment compliance tooling (e.g., Aladdin) market abuse tooling (e.g. MAST), data quality, rule logic, automation, and workflow digitisation.