Investment Oversight Analyst, Assistant Vice President, State Street Global Advisors

This job is with State Street, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.

As an Assistant Vice President, this individual will join a team of global professionals that provides investment oversight support for the investment management and other functions of SSGA.  The Investment oversight team is responsible for supporting investment compliance, including the monitoring of regulatory requirements and client-specific guidelines.

Key Responsibilities:

• Review and interpret governing documents such as prospectuses, supplements 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

• Monitor 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

• Review pre- and post-trade incidents to identify compliance breaches

• Analyze 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

• Effectively liaise with internal and external auditors in the facilitation of control reviews and associated testing

Qualifications

• Bachelor's degree in Finance, Accounting or Economics is preferred

• 6-9 years of experience in the investment management field, including portfolio compliance or other areas of regulatory compliance

• Charles River (CRD) / Sentinel coding experience

• Proficient in Bloomberg

• Knowledge of the European regulatory requirements 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 Sentinel and Charles River compliance systems is a plus

• Strong computer skills including knowledge of Excel and PowerPoint

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