Portfolio Oversight Analyst – Regulatory Reporting & Investment Compliance

Role overview

Responsibilities

• Oversee daily MiFIR transaction and post-trade transparency reporting, confirm successful processing and onward reporting, and resolve reporting exceptions.
• Reconcile UK and EU EMIR trade repository data to internal records; investigate breaks and drive resolution with counterparties and stakeholders.
• Track and escalate exceptions, maintain clear status and aging, and communicate updates to stakeholders and clients as appropriate.
• Lead root-cause analysis and partner with Technology, data teams, and external providers to improve data quality, mappings, processes, and controls.
• Partner with UK and US Legal and Compliance on regulatory developments and support procedure, testing, and operational-control updates.
• Develop expertise in client guidelines, regulatory limits, compliance rule coding, and security reference data to support trading desks during European market hours.
• Review overnight and batch compliance results; investigate alerts and resolve or escalate issues under internal procedures.
• Review portfolio exposures, investigate material deviations, and coordinate follow-up with traders and other stakeholders.
• Support account setup, portfolio compliance inquiries, and recurring Portfolio Oversight controls.
• Contribute to Portfolio Oversight and Trade Operations projects and process improvements.

Qualifications

• Undergraduate degree in Finance, Accounting, Economics, Business Administration, or a related field.
• At least 5 years of relevant experience in investment management, regulatory reporting, trade operations, investment compliance, or a related function.
• Hands-on experience with MiFIR transaction reporting, post-trade transparency reporting, and/or EMIR derivatives reporting; experience across both is strongly preferred.
• Experience investigating regulatory reporting exceptions, reconciliations, and data quality issues through resolution.
• Strong understanding of securities trading and investment operations; equities, fixed income, and derivatives experience preferred.
• Strong analytical and critical-thinking skills, sound judgment, communication and relationship-building skills, and attention to detail.
• Ability to manage recurring duties alongside time-sensitive issues and develop expertise in investment guidelines, compliance coding, and reference data.
• Aladdin by BlackRock experience is strongly preferred; security reference data, instrument identifiers, and front-to-back investment data-flow experience preferred.
• SQL in Snowflake or a similar environment and familiarity with Python for data analysis are preferred.
• Proficiency with Microsoft Office Suite and availability to support European trading hours and occasional cross-region coordination outside standard local business hours.