Portfolio Oversight Analyst – Investment Compliance

Artisan Partners; Boston (MA); On-site; USD 100,000 - 150,000; Full time

Job summary

Artisan Partners in Boston seeks a Portfolio Oversight Analyst within Trade Operations to enhance trading controls and ensure regulatory compliance across investment guidelines. You will code client guidelines into OMS, support trading desks, and manage regulatory reporting and proxy activities.

The role involves on-call rotations, collaboration with investment teams, and growth initiatives, including onboarding new model delivery platforms for expanded investment distribution.

Qualifications

• Undergraduate degree in Finance, Accounting, Economics, or Business Administration.
• 5+ years relevant experience preferred.
• Strong analytical and critical thinking skills.
• Vigilance and sound judgment in identifying issues and escalating them promptly.
• Experience with financial services, investment, and global securities trading.
• Proficiency with Microsoft Office Suite.
• Experience writing SQL queries and familiarity with Python for data analysis.

Responsibilities

• Assist with setup, preparation, and coding of client investment guidelines into the order management systems.
• Provide analysis and interpretation of investment policies and account guidelines in investment management agreements.
• Serve as primary contact for trading desk inquiries on portfolio constraints and regulatory limits.
• Support proxy voting administration and reporting initiatives.
• Assist with regulatory reporting obligations including substantial shareholder disclosures and EMIR reporting.
• Support client reporting obligations including due diligence questionnaires and RFP submissions.
• Coordinate responses to recurring and ad hoc portfolio compliance inquiries.
• Monitor nightly position refresh process and downstream systems.
• Participate in overnight on-call rotation and resolve alerts.
• Assist with other projects and initiatives as needed.

Skills

Analytical thinking

Attention to detail

Multi-tasking

SQL queries

Python for data analysis

Microsoft Office

Education

Finance/Accounting/Economics/Business Administration degree

Tools

Aladdin (BlackRock)

Snowflake

Python

Job description

Artisan Partners Limited Partnership is seeking a Portfolio Oversight Analyst within Trade Operations. The Analyst will join a team responsible for administering and enhancing the firm's trading controls and ensuring compliance with investment management agreements, investment guidelines, and global regulatory limits, which is central to the firm's operational risk framework. Day-to-day, the Analyst will help code client investment guidelines into the firm's order management systems, partner with the trading desks on investment compliance and portfolio administration matters, and apply judgment and business expertise to recommend and implement solutions. The Analyst will also support the firm's global regulatory reporting obligations — sourcing and maintaining data from vendors such as Bloomberg, FactSet, and MSCI, and preparing and submitting required filings — along with proxy voting administration, client due diligence and RFP responses, and maintenance of the firm's library of standard responses on investment guidelines and trading controls. The role includes participation in the team's overnight on-call rotation to support Artisan’s global trading desks. The Analyst will also contribute to the firm's growth initiatives, including onboarding new model delivery platforms that expand how Artisan distributes its investment strategies.

Responsibilities

• Assist with the setup, preparation, and coding of client investment guidelines into the order management systems including recurring account setup reviews
• Provide analysis and interpretation of potential and current investment policies and account guidelines in investment management agreements
• Serve as a primary point of contact for trading desk inquiries on portfolio constraints, regulatory limits, and operational controls, exercising judgment to recommend timely resolutions
• Support proxy voting administration and reporting initiatives
• Assist with the preparation and review of various regulatory reporting obligations including substantial shareholder disclosures and EMIR trade reporting obligations
• Support various internal and client reporting obligations including client due diligence questionnaires and RFP submissions on behalf of the team
• Coordinate responses to recurring and ad hoc portfolio compliance inquiries
• Monitor the Firm’s nightly position refresh process that sends portfolio records to downstream systems
• Participate in the team’s overnight on-call rotation, independently reviewing new underwritten deals and resolving alerts as they arise
• Assist with other projects and initiatives as needed

Qualifications

• Undergraduate degree in Finance, Accounting, Economics, or Business Administration
• 5+ years relevant experience preferred
• Self-starter with ability to multi-task in a fast-paced environment and demonstrated ability to prioritize daily work
• Willingness to perform structured and unstructured tasks with a high sense of urgency and excellent attention to detail
• Strong analytical and critical thinking skills
• Vigilance and sound judgment in identifying and escalating issues promptly
• Demonstrated experience in financial services, investment, securities, and global securities trading industry
• Builds strong relationships across levels and functions including peers, senior management, traders, investment teams, and distribution partners to share information and resolve issues efficiently
• Adaptable in the face of change and ambiguity, with a strong client service orientation
• Intellectual curiosity and a desire to deepen expertise across asset classes and regulatory regimes
• Prior experience supporting client due diligence questionnaires, RFPs, and reporting requests preferred
• Experience with fixed income securities, derivatives on equities or fixed income, listed and unlisted equities preferred
• Regulatory reporting experience preferred, particularly with global substantial shareholder ownership limits
• Experience with the Aladdin by BlackRock order management system preferred
• Previous financial services experience preferred
• Proficiency with Microsoft Office Suite
• Experience writing SQL queries (Snowflake or similar data warehouse) and familiarity with Python for data analysis preferred
• Available to work through evening critical processing times (generally through 5:30PM CST weekdays and occasional late evenings when on call)

Base Salary Range: $100,000 - $150,000

Specific placement within the provided range will be determined by an individual’s geographic location as well as relevant experience and skills for the role. Base salary is only one component of our total compensation package. Associates may be eligible for a discretionary bonus, which is determined upon Firm and individual performance.

Privacy Notice for California Applicants

Artisan Partners Limited Partnership is an equal opportunity employer. Artisan Partners does not discriminate on the basis of race, religion, color, national origin, gender, age, disability, marital status, sexual orientation or any other characteristic protected under applicable law. All employment decisions are made on the basis of qualifications, merit and business need.