Senior Investment Compliance Analyst, Associate 2
Purpose Of Role:
Senior Investment Compliance Analyst will be responsible for monitoring compliance results on client portfolios related to Regulatory and Investment Manager (IM) mandates. Utilizing State Street's Investment Compliance & Reporting platform, the qualified candidate will complete the research, analysis and reporting to ensure portfolios are in compliance with their investment restrictions. Specific Duties:
Specific Qualifications / Skills:
- Point of expertise for complex breach analysis.
- Review all reporting produced by the Associates.
- Liaises with internal clients and supporting departments for the purpose of obtaining key inputs to service delivery.
- Performs special projects and other tasks as assigned by the Team Supervisor.
- Assists Team Supervisor in implementing new procedures and controls.
- Maintaining and fostering a team environment.
- Investigate violations on the automated compliance monitoring system.
- Record findings of investigation on the system.
- Compare and confirm accuracy of fund data as it appears in the system.
- Advise data teams of any discrepancies in a timely fashion.
- Ensure agreed timelines are adhered to.
- Generate and attach reports as required in a timely manner.
- Ensuring data is accurate and ready for client use.
- Involvement in departmental ad-hoc projects.
- Involvement in the training and development of other team members as necessary.
- Make recommendations for changes to processes and procedures and prepare documentation for review as required.
- Resolve review points highlighted by manager and ensure the manager is kept informed of progress.
- Establish and maintain good working relationships with internal clients and colleagues.
- Numeracy / Literacy skills.
- Accuracy and ability to work to tight deadlines.
- PC literate and competent in use of spreadsheets and word processing.
- Basic understanding of investment compliance would be useful but not essential.
- Excellent English.
- Accountancy/Law or Business related degree (preferred)
- At least 2 years experience in investment compliance (preferred) or fund industry.
- Employee savings plan
- Premium life insurance package
- VIP medical package
- International operating environment
- Language classes
- Soft skills trainings
- Technical workshops
- Development sessions with a mentor
- Diversity of opportunities across a range of challenging and highly complex activities
- Technical or leadership career pathway