Who we are looking for
Key Responsibilities:
- performing pre and post trade compliance monitoring for all asset classes on commingled funds, separately managed accounts, and registered funds;
- developing, testing, and implementing automated rules within the monitoring systems and manual monitoring procedures for non-automated rules;
- reading governing documents such as Prospectuses, SAIs, Fund Declarations, Strategy Disclosure Documents, and Investment Management Agreements; identifying and resolving interpretive issues, and reviewing investment restrictions;
- extracting compliance restrictions from governing documents for new accounts and amendments, and coding those restrictions into the compliance systems;
- completing required new account/amendment documentation, including obtaining all necessary signatures, prior to effective date;
- tracking new account and amendment onboarding status, providing reporting and updates to management;
- developing or enhancing policies and procedures related to compliance processes, with a focus on establishing globally consistent best practices;
- working with IT, Data, and system vendors to identify ways to further enhance automation in the compliance system;
- working with internal and external auditors to facilitate controls reviews;
Qualifications
- Bachelor's degree in finance, Accounting or Economics is preferred
- 1-3 years’ experience in the investment management field including experience in investment portfolio compliance or other areas of compliance
- Charles River (CRD) / Sentinel coding experience
- Proficient in Bloomberg
- Ability to work under pressure
- Ability to read governing compliance documents such as IMAs and Prospectus/SAI
- Demonstrated communication and interpersonal skills
- Strong analytical skills and organizational skills
- Attention to detail
- Ability to work independently and collaboratively with various levels of the organization
- Proficient in Microsoft Word and Excel
- Knowledge of the EMEA based Regulations, UCITs, AIF, COLL, KVG funds
Are you the right candidate? Yes!
We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don’t necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.
About State Street Global Advisors
What We Do. As the asset management arm of State Street Corporation, State Street Global Advisors has served the world’s governments, institutions and financial advisors for over four decades. With a rigorous, risk-aware approach built on research, analysis and market-tested experience, we build from a breadth of active and index strategies to create cost-effective solutions. As stewards, we help portfolio companies see that what is fair for people and sustainable for the planet can deliver long-term performance. And, as pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest. As a result, we have become one of the world’s largest asset managers with trillions of dollars under our care.
Our Mission. At State Street Global Advisors our mission is to invest responsibly to enable economic prosperity and social progress. We are driven by a desire to help our clients, and those who rely on them, achieve a better future. We have a long history of developing innovative investment strategies to provide our clients with reliable and transparent returns, cost-effectively, and without excessive risk.
Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to Flexible Work Programs to help you match your needs. And 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 and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.
Company: State Street Global Advisors
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