As an Officer, this individual will join a team of global professionals that provides investment oversight support for the investment management and other functions of SSGA and SSgA Funds Management, Inc. The Investment Oversight team is responsible for supporting investment compliance, including the monitoring of regulatory requirements and client-specific guidelines, trade oversight, and client reporting, as well as other specialized areas of compliance.
Key Responsibilities :
Execute investment compliance tasks including review pre- and post-trade incidents to identify compliance breaches, compliance advisory, new account or amendments review, breach investigations and report, projects, etc.
Review and interpret governing documents such as prospectuses and investment management agreements; identify and resolve interpretive issues; and review investment restrictions
Review account extraction/modification forms and system-coding performed by a team of analysts to ensure accuracy
Manage new account set-up and rule maintenance process to ensure new accounts and updates to guidelines are accurately completed and reviewed according to procedure
Manage and provide support to completion of new account/amendment onboarding process to ensure that appropriate reviews and sign-offs are timely obtained
Develop, test, and implement automated rules with the monitoring systems and manual monitoring procedures for non-automated rules to ensure accuracy of all account guidelines, instructions, and mandates
Execute trade oversight tasks including best execution testing
Analyse compliance breach trends, identify root causes, and resolve potential systemic issues, including recommending process design improvements and operational efficiencies
Develop or enhance policies and procedures related to investment compliance processes, with a focus on establishing globally consistent best practices
Work with IT, data, and system vendors to identify ways to further enhance automation and testing within the compliance systems
Support assigned Investment Oversight Projects
Bachelor's degree in Finance, Accounting or Economics is preferred
3-6 years of experience in the investment management field, including portfolio compliance or other areas of regulatory compliance. Candidates with fund operation or accounting experience will also be considered.
CFA holder is a plus
A post-graduate qualification will be considered towards relevant experience
Knowledge of the regulatory requirements in APAC region and other jurisdictions is a plus
Demonstrated high-level analytical and problem-solving skills
Ability to make, validate and act on decisions using sound and logical judgment as well as influencing/assisting others to make these decisions using established regulatory guidance, policies, and procedures
Fluent in various investment types, including currency, fixed income, equity, and derivatives
Demonstrated analytical skills to effectively interpret governing compliance documents such as investment management agreements, prospectuses, and client guidelines/instructions
Team player, proactive, adaptable, and self-motivated
Ability to manage multiple priorities while maintaining attention to detail
Effective communication and interpersonal skills
Knowledge of Charles River, Sentinel, Aladdin and Bloomberg compliance systems is a plus
Strong computer skills including knowledge of Excel and PowerPoint
Internal Number: 5876134
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