State Street

APAC Investment Oversight, State Street Global Advisors, Officer

State Street
Hong Kong, China
Not disclosed
01 Feb 2023
28 Feb 2023
Approved employers
Approved employer
Contract type
Full time
Experience level
Qualified accountant

Who we are looking for

APAC Investment Oversight, Officer will provide investment oversight support for the investment management and other functions of SSGA and SSgA Funds Management, Inc. The Investment Oversight team is responsible for supporting investment compliance, including the monitoring of regulatory requirements and client-specific guidelines, trade oversight, and client reporting, as well as other specialized areas of compliance.

Why this role is important to us

The team you will be joining is a part of State Street Global Advisors, one of the biggest asset managers in the world, that provides services to the world’s governments, institutions and financial advisors across the globe. With over four decades of experience and trillions of dollars in assets under management, we offer one of the broadest selections of services across asset classes, risk profiles, regions and styles. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest.

Join us if making your mark in the asset management industry from day one is a challenge you are up for.

What you will be responsible for

As APAC Investment Oversight Officer, you will

  • Performing pre and post trade compliance monitoring for all asset classes on commingled funds, separately managed accounts, and registered funds;
  • Analyse compliance breach trends, identify root causes, and resolve potential systemic issues, including recommending process design improvements and operational efficiencies Developing, testing, and implementing automated rules within the monitoring systems and manual monitoring procedures for non-automated rules;
  • Reading governing documents such as Fund Regulatory governing 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;
  • Manage and provide support to completion of new account/amendment onboarding process to ensure that appropriate reviews and sign-offs are timely obtained
  • 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;
  • Lead projects with IT, Data, and system vendors to identify ways to further enhance automation in the compliance system;
  • Lead reviews with internal and external auditors to facilitate controls reviews;
  • Lead in Project work (reviewing regulatory fund docs, compliance system coding/testing, etc.)
  • Conduct client/local regulator meetings

What we value

These skills will help you succeed in this role

  • 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

Education & Preferred Qualifications

  • Bachelor's degree in Finance, Accounting or Economics is preferred
  • 3-6 years’ experience in the investment management field including experience in fund administration, investment operations or investment portfolio compliance
  • Charles River (CRD) / Sentinel rule coding experience
  • Proficient in Bloomberg
  • Proficient in Microsoft Word and Excel
  • Knowledge of local regulations as it pertains to rule coding and monitoring of accounts

For further information, and to apply, please visit our website via the “Apply” button below. 

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