Compliance Analyst, Senior Associate
Your new team
The position is available within State Street’s department entirely dedicated to supporting Charles River Development (CRD). The company functions as part of State Street group and provides an end-to-end solutions to automate front and middle office investment management functions across asset classes on a single platform. Delivered as a hosted service, the solution improves data quality and investment professional productivity, controls risk and lowers technology costs. Charles River serves more than 350 investment firms in over 40 countries in the institutional asset and fund management, private wealth, alternative investments, insurance, banking, and pension markets.
In 2016, CRD established a Compliance Advisory Service (CAS) in the EMEA region in response to demand from clients. The aim of establishing CAS in this region was to be consistent with the continuing investment to ensure that CRD is recognised as the leading provider of solutions in compliance and regulation for buy-side asset managers, pension funds, insurers and wealth managers. With the CAS team firmly established in EMEA, the Service has become global in nature, providing a service to our clients around-the-clock.
Your new role
The focus of this role is primarily to provide hands-on delivery of compliance services to our buy-side clients.
As Compliance Analyst, Senior Associate you will:
- Deliver the following service-related functions for Compliance Services clients:
- Initial service setup/implementation, including business requirements such as regulatory/legal requirements, business processes/workflows, exception management, reporting, and rules of engagement
- Compliance software rule writing/testing, report writing, exception management
- Compliance software configuration changes
- Compliance software upgrade/regression testing
- Problem troubleshooting, support, and resolution
- Understand the concept and be able to learn about regional and global industry trends and regulatory issues
- Follow the requirements in the area of internal systems, applications and controls (e.g. Salesforce) to ensure adherence to the Global Compliance Services Workflow Procedures
- Provide exemplary customer service
- Ensure smooth information flow regarding ongoing Compliance issues + support the resolution
- Assist clients in optimal use of the system with support from more experienced colleagues
What we value
Experience & Qualifications:
- Direct experience working within a Investment Management Compliance Department, ideally within the Investment Management/Trading space will be an important asset
- CFA Certification, FRM Financial Risk Manager or CRM Certified Risk Manager certification would be an important asset
- Fair knowledge of Investment Compliance related regulations e.g. UCITS, MMF, The Investment Company Act of 1940, and National Instrument 81-102 (any of the listed)
- Bachelor’s degree in Business Administration, Finance or a Technical Discipline required
- Experience using a Rules based Compliance Engine is highly preferable. Experience with any of the following software is highly desired: Charles River IMS, MIG21, other Trade Order Management and Middle or Back Office trading applications
- Fluency in English essential
- Fluency in French or German advantageous but not essential
- Ability to understand and decipher Prospectus, Statement of Additional Information, Investment Policies and Client Guidelines
- Good understanding of different financial instruments and mechanisms driving fund industry
- Ability to perform as a team member in a fast-paced, high-growth, mission critical service delivery environment
- Strong proficiency using windows-based applications, including MS Office applications such as Word, Excel, PowerPoint, Access, and MS Project.
- Strong analytical skills and strict attention to detail
- Excellent interpersonal, verbal, and written communication skills
- Excellent time-management skills
What we offer
- Employee savings plan
- Premium life insurance package
- VIP medical package
- Multisport Plus card
- Language classes
- Soft skills trainings and technical workshops
- Development sessions with a mentor
- Diversity of opportunities across a range of challenging and highly complex activities
- Technical or leadership career pathway
About State Street
What we do
State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.
Work, Live and Grow
We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary in locations, but you may expect generous medical care, insurance and savings plans among other perks. You’ll have access to flexible Work Program that will help you to match your needs. And our wealth of development programs and educational support will help you reach your full potential.
Inclusion, Diversity and Social Responsibility
We truly believe our employees’ diverse backgrounds, experiences and perspective are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome the candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift program and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.
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