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The role sits in the investment management organization within the first line of defence. The Investment Oversight team partners with the investment teams to ensure compliance with client and regulatory expectations and strengthen our overall control environment. This individual will be responsible for leading all aspects of EMEA's overall investment oversight efforts and the ongoing quality of account monitoring.
Day to day management of the regional investment oversight team of 5 professionals
The team is responsible for pre and post trade portfolio compliance monitoring using the Bloomberg, Sentinel and Charles River compliance modules
Coordinate trade compliance efforts for the EMEA region
Use professional judgment in raising compliance issues to management
Ensure investment oversight onboarding activities are performed timely, efficiently and accurately
Analyse breaches to highlight trends and areas of monitoring weakness
Identify and highlight system improvements to increase the amount of automated monitoring of the fund's governing documents
Participate in committees and working groups
Attend client meetings to speak about the investment oversight function
Liaise with auditors for the annual SOC 1 audit and other internal/external audits
Liaise with the global investment oversight teams to discuss challenges and implement global consistency, where possible
Periodically meet with members of the business to clarify expectations, discuss areas of focus and receive feedback
Work with the EMEA compliance teams to address emerging regulations and areas of regulatory focus
Develop effective working relationships and communications with staff and ensure that staff are motivated, developed and supported
Ensure that appropriate management information is produced and reviewed at requisite intervals
Interact with senior management
Develop and monitor appropriate timelines for responses to queries, completion of daily tasks and various projects
Support a culture of effective challenge to ensure appropriate governance
Extensive experience in investment management oversight or portfolio compliance role within a large asset management organization
Strong knowledge of all asset types and investment strategies
Knowledge of various regional regulatory regimes
Experience with Charles River Development compliance system is a plus
Attentive to detail with an ability to look critically at a problem and propose solutions
Can do attitude
Advanced degree in Business or Finance and/or CFA designation preferred
Ability to influence colleagues to support business goals
Positive attitude, strong work ethic, ability to execute independently yet also maintain strong team orientation
Promoting a Culture of Excellence Webelievethatourpeopleareourgreatestasset:highlyskilled,engagedandproductiveteamsareessentialtooursuccess.Wealsowanttohelpyoutobuildafulfillingcareer,aimingtobetheemployerofchoicebyofferinggreatcompensation,developmentopportunities,andaworkenvironmentthatpromotesadiversebackgroundofpeople,ideasandskills.StateStreetiscommittedtoembracingdiversityandinclusionintheworkplace. We'reacompanythatinsistson,andrewards,performanceexcellence.Weknowoursuccesshingesonattractingthebestpeopletojoinus.
Internal Number: 6515219
About State Street
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