Investment Oversight Analyst, VP

About This Role

Provide investment oversight support for investment management functions, focusing on Collateralized Loan Obligation (CLO) and Private Credit asset types. The role involves implementing and monitoring client and regulatory guidelines, as well as trade oversight for these products.

Responsibilities

• Familiarize with current infrastructure and identify additional needs to effectively monitor private credit and CLO investments
• Communicate missing data or system requirements to IT, data, and vendor teams for effective monitoring
• Set up guideline rules to monitor Private Credit and CLO investments
• Coach the team on the nuances of asset classes and workflows
• Read governing documents, identify and resolve interpretive issues, and review investment restrictions
• Extract compliance restrictions from governing documents for new accounts and amendments, and code into compliance systems
• Develop, test, and implement automated rules within monitoring systems (Sentinel, CRD, Bloomberg, Aladdin, Virtus)
• Perform pre and post trade compliance monitoring for all asset classes
• Analyze compliance breach trends, identify root causes, and resolve systemic issues
• Lead projects with IT, Data, and system vendors to enhance automation in compliance systems
• Manage and support completion of new account/amendment onboarding processes
• Develop or enhance policies and procedures related to compliance processes

Requirements

• Subject matter expertise in CLO and Private Credit asset types
• Proven experience in implementing and monitoring client and regulatory guidelines
• Proven experience in trade oversight on CLO and Private Credit products
• Ability to read governing compliance documents such as IMAs and Prospectus/SAI
• Compliance Platform (Sentinel/CRD) hands-on rule coding experience
• Proficient in Bloomberg
• Proficient in Microsoft Word and Excel

Qualifications

• Bachelor's degree in Finance, Accounting or Economics is preferred
• 10+ years’ experience in the investment management field including experience in investment portfolio compliance or other areas of compliance

Skills

* Required skills

Benefits