Investment Oversight Analyst

Recruiter
State Street.
Location
Boston, Massachusetts
Salary
Not disclosed
Posted
07 Dec 2021
Closes
07 Jan 2022
Ref
R-684798
Contract type
Permanent
Hours
Full time
Experience level
Qualified accountant

Job Description

The Investment Oversight Analyst will provide compliance support for the investment management operations and other functions of State Street Global Advisors.  The individual will be responsible for supporting Investment Oversight, including the monitoring of regulatory requirements and specific client mandates as well as other specialized areas of Investment Oversight. Specific responsibilities may include:      

  • performing pre and post trade compliance monitoring for all asset classes on commingled funds, separately managed accounts, and registered funds;
  • developing, testing, and implementing automated rules within the monitoring systems and manual monitoring procedures for non-automated rules;
  • reading governing documents such as Prospectuses, SAIs, Fund Declarations, Strategy Disclosure Documents, and Investment Management Agreements; identifying and resolving interpretive issues, and reviewing investment restrictions;
  • extracting compliance restrictions from governing documents for new accounts and amendments, and coding those restrictions into the compliance systems;
  • completing required new account/amendment documentation, including obtaining all necessary signatures, prior to effective date;
  • tracking new account and amendment onboarding status, providing reporting and updates to management;
  • developing or enhancing policies and procedures related to compliance processes, with a focus on establishing globally consistent best practices;
  • working with IT, Data, and system vendors to identify ways to further enhance automation in the compliance system;
  • working with internal and external auditors to facilitate controls reviews;
Qualifications:

  • Bachelor's degree in Finance, Accounting or Economics is preferred.
  • 1-3 years’ experience in the investment management field including experience in investment portfolio compliance or other areas of compliance.
  • Charles River (CRD) / Sentinel coding experience.
  • Proficient in Bloomberg.
  • Ability to work under pressure.
  • Ability to read governing compliance documents such as IMAs and Prospectus/SAI.
  • Demonstrated communication and interpersonal skills.
  • Strong analytical skills and organizational skills.
  • Attention to detail.
  • Ability to work independently and collaboratively with various levels of the organization.
  • Proficient in Microsoft Word and Excel.
  • Knowledge of the Investment Company Act of 1940, ERISA, and Insurance Products.

In compliance with the U.S. federal government Executive Order 14042, State Street requires vaccination against COVID-19 as a condition of employment in the United States. If you accept this position, you will be required to substantiate that you are vaccinated, or that you are legally entitled to a religious or medical exemption.

For further information, and to apply, please visit our website via the "Apply" Button below. 

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