Investment Compliance Expert
1 week ago
About the Role:
">We are seeking a seasoned investment compliance professional to join our team at State Street. This is an exciting opportunity for someone with experience in end-to-end support to investment company clients and their Compliance teams.
">Responsibilities:
">- ">
- Onboard new clients by understanding client requirements, interpreting prospectuses/investment mandates, and extracting compliance restrictions to create compliance rule matrices.">
- Liaise with clients to obtain additional information necessary to code compliance matrices into the compliance system.">
- Perform annual reviews of compliance rules in matrices by comparing them against updated prospectuses/SAIs.">
- Research ad-hoc queries from the compliance reporting team to determine if client portfolios align with investment guidelines.">
- Liaise with coding teams for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients.">
- Demonstrate in-depth knowledge of investment compliance to translate client requirements into actionable items for internal teams.">
- Identify and analyze operations risks related to current and potential business and recommend procedural changes as needed.">
- Adhere to Standard Operating Procedures and improve them where necessary.">
- Ensure timely resolution of issues while keeping management informed of any potential issues.">
- Responsible for performing daily processes accurately and in accordance with defined time frames and client requirements.">
Requirements:
">- ">
- University degree in Business majoring in Accounting, Finance, or other Financial-related programs.">
- Overall experience of 2+ years in Investment banking, Investment compliance.">
- Investment compliance monitoring or coding experience is a must (pre or post-trade investment compliance).">
- Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities & Investment) are preferred.">
Salary and Benefits:
">We offer a competitive salary range of $80,000 - $110,000 per annum, depending on experience, plus benefits including medical care, insurance, savings plans, flexible work program, and wealth of development programs.
">Why Choose State Street?
">We truly believe our employees' diverse backgrounds, experiences, and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their full potential. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity, and personality.
">State Street is an equal opportunity and affirmative action employer. Discover more at StateStreet.com/careers.
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