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Grow your career at State Street From technology and product innovation to corporate responsibility and community development, we're making our mark on the financial services industry. We're a global company with diverse people and experiences, and a network of over 35,000 employees spanning more than 100 markets. For us, success comes from the impact our employees have - on our clients, our communities and each other. We're committed to providing an inclusive environment where all employees feel valued and supported. Join us and make your mark at State Street.
General Overview: Responsible for reviewing compliance on mutual funds related to Regulatory and Investment Manager (IM) mandates. Utilizing State Street's Investment Compliance Services platform, the qualified candidate will communicate directly with the client and IM's to ensure portfolios are in compliance with their investment restrictions.
In the role of Investment Compliance you will be responsible for:
Prepare and audit investment compliance reporting for a select group of clients
Client service experience and knowledge experience of UCITS Regulations and investment compliance
Address/respond to all client inquiries and fully research all issues arising
Conduct service review calls with clients on a regular scheduled basis
Ensure client deliverables are completed in a timely manner and follow-up with internal groups where necessary
With limited supervision, facilitate direct contact with clients and other internal groups
Assist senior management with designated compliance projects and assignments and act as coordinator where required
Work directly with new clients when setting up investment compliance tasks
Ensure detailed documentation is maintained for audit purposes
Train analysts and senior analysts on systems and processes to be used
Other duties as assigned.
To be successful in this role, your experience should include
Bachelor's degree or equivalent with focus in business, accounting or finance.
Typically have 4 years' experience in the Financial Services industry (preferably in Investment Compliance)
Strong securities knowledge and / or pursuing the CFA designation
Demonstrated client serviceability
Effective verbal and written communication skills and excellent interpersonal skills
Excellent computer skills including knowledge of word processing, spreadsheet and database applications
Strong research and analytical skills
Ability to develop and maintain business relationships within the business unit and across the corporation
Experience with market information sources such as Bloomberg