Manager – Portfolio Compliance CLO

Job Title - Manager – Portfolio Compliance CLO

Key Responsibilities

Compliance Oversight & Portfolio Monitoring

• 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.
• Translate investment guidelines into automated compliance rules for pre- and post-trade monitoring.
• Track deal and warehouse cash balances, calculate warehouse fundings, and prepare drawdown requests
• 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

• Manage the preparation, and delivery of trustee reporting, compliance packages, other deliverables while maintaining adherence to established controls, service levels, and audit standards.
• Communicate effectively with trustees, administrators, auditors, and internal partners, ensuring issue resolution, and delivery of agreed service commitments.

Team Leadership & Development 

• 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 

·        Monitor team productivity, SLA adherence, review routines, and performance reporting to support management visibility and control discipline. 

Process Improvement & Automation 

• 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

• Bachelor’s degree in finance, Economics, or a related field; advanced degree or CFA/FRM/CAIA preferred.
• 12+ years of experience in in operations, compliance, or portfolio monitoring within banking, trustees, or asset management or a related control function.
• Strong understanding of CLO lifecycle events, trustee reporting, cash waterfalls, portfolio compliance testing, loan trading, settlements, reconciliations, and control frameworks.
• Demonstrated ability to manage teams, lead reviews, drive issue resolution, and coordinate across senior stakeholders.
• Advanced Excel and data-analysis skills with strong attention to detail and comfort reviewing complex reporting outputs.
• Strong communication, prioritization, governance, and problem-solving skills in a deadline-driven environment.

Preferred Qualifications

·        Experience supporting large CLO platforms across US and European transactions.

·        Knowledge of trustee platforms, portfolio accounting systems, compliance engines, data validation workflows, and reporting tools.

·        Experience with process automation, workflow tooling, exception dashboards, and operational transformation initiatives.

·        Familiarity with rating agency methodologies, CLO documentation, audit readiness, and control-testing expectations.