Job Title
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Manager – Portfolio Compliance CLO
Key Responsibilities
Compliance Oversight & Portfolio Monitoring
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Oversee the execution and review of portfolio compliance monitoring
activities across the CLO lifecycle, ensuring compliance tests, portfolio
metrics, and reporting outputs are completed accurately, timely, and in
accordance with governing transaction documents and client requirements.
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Translate investment guidelines into automated compliance rules for pre-
and post-trade monitoring.
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Track deal and warehouse cash balances, calculate warehouse fundings, and
prepare drawdown requests
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Identify operational, compliance, data-quality, and delivery risks
early; investigate breaches or exceptions promptly; drive root-cause
analysis; implement corrective actions; and escalate material issues with
clear ownership, timelines, and resolution tracking.
Reporting & Stakeholder Management
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Manage the preparation, and delivery of trustee reporting, compliance
packages, other deliverables while maintaining adherence to established
controls, service levels, and audit standards.
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Communicate effectively with trustees, administrators, auditors, and
internal partners, ensuring issue resolution, and delivery of agreed
service commitments.
Team Leadership & Development
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Lead, coach, and develop team members by setting clear expectations,
reviewing output quality, building technical expertise, enabling
cross-training and backup coverage, and fostering accountability,
ownership, and a high-performance service culture.
Productivity, Quality & MIS Oversight
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Monitor team productivity, SLA adherence, review routines, and performance
reporting to support management visibility and control discipline.
Process Improvement & Automation
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Drive continuous improvement, standardization, and automation across
recurring workflows, reports, reconciliations, guideline monitoring, MIS,
and exception management to improve accuracy, scalability, turnaround
time, and control effectiveness.
Required Qualifications
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Bachelor’s degree in finance, Economics, or a related field; advanced
degree or CFA/FRM/CAIA preferred.
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12+ years of experience in in operations, compliance, or portfolio
monitoring within banking, trustees, or asset management or a related
control function.
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Strong understanding of CLO lifecycle events, trustee reporting, cash
waterfalls, portfolio compliance testing, loan trading, settlements,
reconciliations, and control frameworks.
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Demonstrated ability to manage teams, lead reviews, drive issue
resolution, and coordinate across senior stakeholders.
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Advanced Excel and data-analysis skills with strong attention to detail
and comfort reviewing complex reporting outputs.
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Strong communication, prioritization, governance, and problem-solving
skills in a deadline-driven environment.
Preferred Qualifications
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Experience supporting large CLO platforms across US and European
transactions.
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Knowledge of trustee platforms, portfolio accounting systems, compliance
engines, data validation workflows, and reporting tools.
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Experience with process automation, workflow tooling, exception
dashboards, and operational transformation initiatives.
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Familiarity with rating agency methodologies, CLO documentation, audit
readiness, and control-testing expectations.