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Investment Compliance Associate
1 month ago
About the Role:
We are seeking a highly skilled Investment Compliance Associate to join our team at State Street. As a key member of our compliance team, you will be responsible for ensuring that our investment clients comply with all relevant regulations and guidelines.
Key Responsibilities:
- Onboard new clients by understanding their requirements and interpreting their prospectus/investment mandate.
- Liaise with clients to obtain additional information necessary to code compliance matrices into our system.
- Perform annual reviews of compliance rules in the matrix by comparing them against updated prospectuses/SAIs.
- Research ad-hoc queries from the compliance reporting team to determine if client portfolios are in line with investment guidelines.
- Liaise with the coding team to maintain 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 improvise Operating Procedures where they do not fall in line with the process.
- Ensure timely resolution of issues while keeping management informed of any potential issues.
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.
- Certifications: Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities & Investment) are preferred.
About State Street:
State Street is one of the largest custodian banks, asset managers, and asset intelligence companies in the world. We provide investment servicing, data & analytics, investment research & trading, and investment management to institutional clients. We make all efforts to create a great work environment with competitive and comprehensive benefits packages, flexible work programs, and development programs to help you reach your full potential.
