Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Monitor investment activity and ensure compliance with regulatory standards.
- Company: Join St. James's Place, a leading inclusive employer in the financial sector.
- Benefits: Enjoy flexible working options and a supportive corporate culture.
- Why this job: Be part of a team that safeguards client assets and drives positive outcomes.
- Qualifications: Knowledge of regulatory reporting and investment operations is essential.
- Other info: Opportunities for travel and out-of-hours work may be required.
The predicted salary is between 43200 - 72000 £ per year.
This job is with St. James's Place, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community.
The Investment Operations Division keeps clients' assets safe by mitigating risk and overseeing fund administrator, custodian and manager activity. They are committed to safely delivering SJP's Investment Approach, meeting regulatory obligations and upholding our clients' trust in the Partnership. By enabling investment teams, they support SJP's growth and excellent client outcomes.
The Senior Reporting & Guideline Monitoring Analyst is responsible for monitoring investment activity to identify any exceptions to regulatory transaction reporting requirements and internal fund policies. Using SJP's service provider post trade monitoring services, you will monitor the adherence to guidelines, identifying and escalating any potential breaches to be resolved. You will also oversee the timely and accurate submission of regulatory transaction reporting by SJP's investment managers.
What you'll be doing:
- Conducting oversight of regulatory transaction reporting, ensuring compliance with regulatory standards by escalating exceptions for resolution with SJP's investment managers.
- Collaborating with the Investment Risk team, Governance team and service provider to ensure appropriate guidelines are maintained in the post trade monitoring system.
- Performing daily monitoring of portfolios to ensure compliance with investment guidelines and restrictions.
- Investigating and resolving any alerts triggered by the guideline monitoring system, ensuring prompt escalation with the support of the Head of Trade & Position oversight.
- Engaging with Industry bodies and staying up to date with regulatory changes impacting transaction reporting and investment guideline monitoring.
- Overseeing service provider's adherence to the service standards, having periodic review meetings to maintain service standards and contribute to annual due diligence meetings, in relation to regulatory transaction reporting and guideline monitoring.
- Maintaining thorough records of regulatory and guideline breaches, resolutions including root cause analysis on the causes of breaches.
- Supporting the Head of Trade & Position Oversight to improve the scalability, efficiency and effectiveness of SJP's Regulatory Transaction and Investment Guideline monitoring processes.
- Providing subject matter expertise to onboarding and fund lifecycle event teams, ensuring regulatory transaction reporting and investment guideline activities are appropriately updated and maintained.
- Supporting operational due diligence as part of the onboarding of new managers and strategies, in collaboration with the Investment Risk & Insights team.
Who we're looking for:
A confident individual who is responsible for monitoring investment activity to identify any exceptions to regulatory transaction reporting requirements and internal fund policies.
Essential Criteria:
- Working knowledge of transaction regulatory reporting oversight.
- Awareness of the minimum regulatory requirements of investment funds in the UK.
- Experience monitoring service providers against agreed service standards.
- Proven experience investigating, escalating, and remediating reporting exceptions.
Desirable Criteria:
- Understanding of Investment Operations, Investment Risk, Investment Product and Compliance services.
- Understanding of derivative instruments including OTCs and ETDs.
- Degree qualified, or equivalent experience. Relevant additional professional qualifications are preferable but not essential.
Special Requirements:
- Required to travel to other offices and service provider offices.
- Will require out of hours work when projects are nearing completion.
Senior Reporting and Guideline Monitoring Analyst employer: St. James'S Place
Contact Detail:
St. James'S Place Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Reporting and Guideline Monitoring Analyst
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in transaction reporting and investment guidelines. This knowledge will not only help you stand out during interviews but also demonstrate your commitment to staying updated in a fast-paced environment.
✨Tip Number 2
Network with professionals in the investment operations field, especially those who work in regulatory compliance. Engaging with industry bodies or attending relevant events can provide valuable insights and connections that may lead to job opportunities.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled reporting exceptions in the past. Being able to articulate your problem-solving skills and experience in monitoring service providers will showcase your suitability for the role.
✨Tip Number 4
Research St. James's Place and their approach to investment operations. Understanding their values and how they align with your own can help you tailor your conversations and show genuine interest in becoming part of their team.
We think you need these skills to ace Senior Reporting and Guideline Monitoring Analyst
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in regulatory transaction reporting and investment operations. Use keywords from the job description to demonstrate your fit for the role.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of the investment operations field and your ability to monitor compliance effectively. Mention specific experiences where you've successfully managed reporting exceptions.
Showcase Relevant Skills: In your application, emphasise your knowledge of UK regulatory requirements and your experience with service providers. Highlight any professional qualifications or training that relate to the role.
Proofread Your Application: Before submitting, carefully proofread your application for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for this role.
How to prepare for a job interview at St. James'S Place
✨Understand Regulatory Requirements
Make sure you have a solid grasp of the regulatory transaction reporting requirements relevant to investment funds in the UK. Be prepared to discuss how your knowledge can help ensure compliance and mitigate risks.
✨Showcase Your Analytical Skills
As a Senior Reporting and Guideline Monitoring Analyst, you'll need strong analytical skills. Prepare examples from your past experiences where you've successfully investigated and resolved reporting exceptions or breaches.
✨Demonstrate Collaboration Experience
This role involves working closely with various teams, including Investment Risk and Governance. Be ready to share instances where you've collaborated effectively with different stakeholders to achieve common goals.
✨Stay Updated on Industry Changes
Engage with current trends and changes in regulatory standards that impact transaction reporting and investment guidelines. Showing that you're proactive about staying informed will impress your interviewers.
