Investment Compliance Services – Senior Associate

Position Description:

• 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.

RESPONSIBILITIES:

• Review and audit investment compliance restrictions and monitoring.
• Address/respond to all client services inquiries and fully research all issues arising
• Conduct service review calls on a regular scheduled basis
• Assist senior management with designated compliance projects and assignments and act as coordinator where required
• Ensure detailed documentation is maintained for audit purposes
• Work with IT and data teams to ensure all client requirements are addressed.
• Assist team in billing of clients
• Other duties as assigned.

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REQUIREMENTS:

• Bachelor’s degree or equivalent with focus in business, accounting or finance.
• Typically have 4+ years’ experience in the Financial Services industry (preferably in Investment Compliance)
• Strong securities knowledge and / or pursuing the CFA designation
• Effective verbal and written communication skills and excellent interpersonal skills
• Excellent computer skills including knowledge of all Microsoft Office applications including Visual Basic.
• Strong research and analytical skills
• Ability to develop and maintain business relationships both internal and external clients.
• Experience with Charles River or other automated compliance engine an advantage

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we’re making our mark on the financial services industry. 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. 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.

Discover more at StateStreet.com/careers.

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