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Investment Compliance Analyst will be responsible for monitoring compliance results on client portfolios related to Regulatory and contracts restrictions. Utilizing State Street's Investment Compliance platform, the qualified candidate will complete the research, analysis and reporting to ensure portfolios are in compliance with their investment restrictions. Successful candidate will be in charge of reviewing contracts for restrictions and building & coding logical tests & rules in the compliance systems.
Responsibilities: TECHNICAL COMPETENCIES:
REVIEWING WORK AND ASSISTING TEAM SUPERVISOR
Point of expertise for complex breach analysis.
Review all reporting produced by the Associates.
Liaises with internal clients and supporting departments for the purpose of obtaining key inputs to service delivery.
Performs special projects and other tasks as assigned by the Team Supervisor.
Assists Team Supervisor in implementing new procedures and controls.
Maintaining and fostering a team environment.
MONITORING INVESTMENT COMPLIANCE
Investigate violations on the automated compliance monitoring system.
Record findings of investigation on the system.
Ensure agreed timelines are adhered to.
DATA CONTROL CHECKS
Compare and confirm accuracy of fund data as it appears in the system.
Advise data teams of any discrepancies in a timely fashion.
Ensure agreed timelines are adhered to.
Performing Data Uploads and Data Staging.
Generate and attach reports as required in a timely manner.
Ensuring data is accurate and ready for client use.
Review investment contracts/guidelines/policies to understand compliance testing needs.
Maintain detailed documentation on new client installations including client sign-offs and communications.
Maintain detailed documentation on clients and their contracts/investment guidelines.
Build rules utilizing compliance engine, validate data sets, and discuss with manager.
Involvement in departmental ad-hoc projects.
Involvement in the training and development of other team members as necessary.
Make recommendations for changes to processes and procedures and prepare documentation for review as required.
NON - TECHNICAL COMPETENCIES:
Resolve review points highlighted by their manager and ensure they are kept informed of progress.
Establish and maintain good working relationships with internal clients and colleagues.
Demonstrates good time organizational skills in order to meet deadlines.
Maintains systematic filing practices.
Ensure that daily work load is allocated appropriately.
Adheres to clean desk policy and record keeping.
TRAINING AND PERSONAL DEVELOPMENT
Work with their manager to identify objectives at the start of each year and keep them up to date.
Actively participate in the appraisal process by completing a self-evaluation and suggesting appropriate development.
Take responsibility for personal development and training.
Numeracy / Literacy skills.
Accuracy and ability to work to tight deadlines.
PC literate and competent in use of Excel spreadsheets and word processing.
Knowledge of financial services, securities industry and capital markets.
Basic understanding of investment compliance would be an asset but not essential.
Experience utilizing Bloomberg would be an asset.
Excellent written and spoken English and German is a must.
Previous experience with legal text in German and English would be an asset.
Strong Analytical and problem solving skills.
Attention to details. Critical Behaviors for Success as defined by the PPR System at Core level:
Takes Ownership and Initiative
Ensures accuracy and quality
Provides outstanding service
Displays Insight & Influence
Fosters Collaboration and Teamwork
Internal Number: 6244201
About State Street
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