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- Tasks: Join a global team to support investment compliance and oversight tasks.
- Company: State Street Global Advisors is a leading investment management firm.
- Benefits: Enjoy competitive pay, remote work options, and professional development opportunities.
- Why this job: Be part of a dynamic team making impactful decisions in the finance world.
- Qualifications: Bachelor's degree in Finance, 6-9 years in investment management, strong analytical skills required.
- Other info: Experience with Charles River and Bloomberg is a plus; teamwork and adaptability are key.
The predicted salary is between 43200 - 72000 £ per year.
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.
Investment Oversight Analyst, Assistant Vice President, State Street Global Advisors employer: State Street Corporation
Contact Detail:
State Street Corporation Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Oversight Analyst, Assistant Vice President, State Street Global Advisors
✨Tip Number 1
Familiarise yourself with the specific compliance regulations and investment guidelines relevant to State Street Global Advisors. Understanding these will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the investment management field, especially those who have experience with Charles River and Sentinel systems. Engaging with industry insiders can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Stay updated on the latest trends and changes in European regulatory requirements. This knowledge will be crucial during discussions and can set you apart as a candidate who is proactive and informed.
✨Tip Number 4
Prepare to discuss specific examples of how you've identified and resolved compliance issues in previous roles. Being able to articulate your problem-solving skills will showcase your analytical abilities and fit for the position.
We think you need these skills to ace Investment Oversight Analyst, Assistant Vice President, State Street Global Advisors
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in investment management and compliance. Emphasise your familiarity with governing documents, regulatory requirements, and any specific tools like Charles River or Bloomberg.
Craft a Compelling Cover Letter: In your cover letter, explain why you are interested in the Investment Oversight Analyst position at State Street Global Advisors. Mention specific experiences that demonstrate your analytical skills and problem-solving abilities related to compliance.
Showcase Relevant Skills: Clearly outline your proficiency in various investment types and your experience with compliance systems. Highlight your ability to manage multiple priorities and your attention to detail, as these are crucial for the role.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no grammatical errors or typos, as attention to detail is key in compliance roles. A polished application reflects your professionalism.
How to prepare for a job interview at State Street Corporation
✨Know Your Compliance Documents
Familiarise yourself with investment management agreements, prospectuses, and client guidelines. Be prepared to discuss how you would interpret these documents and resolve any potential issues that may arise.
✨Demonstrate Analytical Skills
Showcase your ability to analyse compliance breaches and identify root causes. Prepare examples from your past experience where you successfully resolved compliance issues or improved processes.
✨Highlight Technical Proficiency
Be ready to discuss your experience with Charles River and Bloomberg. If you have knowledge of automation in compliance systems, make sure to mention it, as this is a key aspect of the role.
✨Emphasise Team Collaboration
As a team player, share examples of how you've worked effectively with others, especially in high-pressure situations. Highlight your adaptability and proactive approach to managing multiple priorities.
