Senior Portfolio Compliance Guidelines Analyst, Asset Management

Sitting within the second line of defence, the Portfolio Compliance team safeguards the integrity of our Asset Management client’s funds by ensuring every portfolio adheres to its investment guidelines, regulatory frameworks, and internal policies. Reporting to the Head of Portfolio Compliance, you will drive rule coding and monitoring in Aladdin, advise investment teams, and help shape a best-in-class control environment.

This is a highly visible role for a self-starter who combines deep technical expertise with commercial acumen and first-class stakeholder skills.

Key Responsibilities

• Onboarding & Mandate Changes

  • Review draft prospectuses and IMAs, identifying codable restrictions and proposing alternative controls for non-codable rules.

• Rule Coding & Monitoring

  • Own end-to-end BQL coding, testing, assignment, and approval of complex investment restrictions in Aladdin.

  • Execute daily pre- and post-trade compliance checks, escalating exceptions and managing breaches through to resolution with thorough record-keeping.

• Advisory & Collaboration

  • Act as a trusted adviser to portfolio managers and traders on asset eligibility, issuer concentration, and diversification.

  • Partner with Investment Compliance, Legal, Risk, and Client Relationship teams to ensure consistent interpretation across jurisdictions (UK, Luxembourg, Ireland).

• Regulatory & Project Work

  • Maintain up-to-date knowledge of UCITS, AIFMD, and other relevant regulations; lead or support change initiatives, thematic reviews, and system enhancements.

What We’re Looking For

• Proven expertise coding, testing, and maintaining complex rules in Aladdin using BQL.

• Extensive buy-side experience in pre- and post-trade compliance for a broad range of asset classes, including derivatives.

• Deep knowledge of UCITS, AIFMD, and related regulations; adept at interpreting jurisdictional nuances.

• Track record of managing compliance breaches end-to-end, with strong analytical and documentation skills.

• Gravitas to influence senior investment professionals while fostering a culture of compliance.

• Demonstrated success leading or contributing to regulatory change projects and control-framework improvements.

• Excellent organisational skills with the ability to juggle multiple priorities in a fast-paced environment.

Ready to help steer a high-performing investment manager through an evolving regulatory landscape? Apply now with your CV