Senior Reporting and Guideline Monitoring Analyst

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. Please do not contact the recruiter directly.

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 resolve 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 stay 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