Investment Compliance Services - Officer
Who we are looking for
You will manage a number of complex clients with varied fund types (e.g. UCITS, AIFs, Pension funds) and assist them with onboarding new funds and maintaining the compliance monitoring of their existing funds, reviewing Regulations, prospectuses and investment management guidelines.
This role can be performed in a hybrid model, where you can balance work from home and office to match your needs and role requirements.
What you will be responsible for
As Officer you will:
1. Review and audit investment compliance restrictions and monitoring.
2. Address/respond to all client services inquiries and fully research all issues arising.
3. Conduct service review calls on a regular scheduled basis.
4. Assist senior management with designated compliance projects and assignments and act as coordinator where required.
5. Ensure detailed documentation is maintained for audit purposes.
6. Work with IT and data teams to ensure all client requirements are addressed.
7. Other duties as assigned.
What we value
These skills will help you succeed in this role:
1. Strong securities knowledge and/or pursuing the CFA designation.
2. Effective verbal and written communication skills and excellent interpersonal skills.
3. Excellent computer skills including knowledge of all Microsoft Office applications including Visual Basic.
4. Strong research and analytical skills.
5. Ability to develop and maintain business relationships with both internal and external clients.
6. Experience with MIG21, Charles River or other automated compliance engine is an advantage.
Education & Preferred Qualifications
1. Bachelor's degree or equivalent with focus in business, accounting or finance.
2. Typically have 6+ years' experience in the Financial Services industry (preferably in Investment Compliance).
About State Street
What we do: State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.
Work, Live and Grow: We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. You'll have access to flexible Work Programs to help you match your needs. Our wealth of development programs and educational support will help you reach your full potential.
Inclusion, Diversity and Social Responsibility: We truly believe our employees' diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive. 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.
#J-18808-Ljbffr