Investment Compliance Analyst, Associate 2

State Street.
Hangzhou, China
Not disclosed
09 Feb 2021
09 Mar 2021
Contract type
Full time
Experience level
Qualified accountant

Who we are looking for:

Under supervision of Supervisor or Manager, the Senior Investment Compliance Analyst will engage in various projects, special analysis and initiatives relating to technical aspects of the business

Provide technical support to Supervisor and Compliance teams to ensure all deliverables are produced and dispatched on time in accordance with client service level agreements and agreed quality standards

Why this role is important to us:

The team you will be joining is a part of State Street Global Services (SSGS). SSGS gives asset owners and managers access to the essential financial tools they need to deliver effective investment solutions. From core custody, accounting, fund administration and shareholder recordkeeping, to complete operations solutions and servicing for alternative assets like OTC derivatives, private equity and real estate, SSGS’ tools help our clients make better investment choices and act on growth opportunities.

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

What you will be responsible for:

As Investment Compliance Analyst, Associate 2, you will:


  • Build rules utilizing compliance engine, validate data sets, and discuss with manager
  • Monitoring fund activity in terms of regulations on the automated compliance monitoring system
  • Identify, investigate and document violations based on the system, provided documents and third-party tools
  • Maintain detailed documentation on clients and their contracts/investment guidelines
  • Confirm the accuracy of fund data from internal and external sources, and perform maintenance in internal databases
  • Assist in the improvement of the rule coding, identify errors in the software and propose modifications
  • Make recommendations for changes to processes and procedures and prepare proper documentation

  • Review the work of others
  • Liaise with other internal clients and supporting departments for the purpose of obtaining key inputs to service delivery, resolving errors and discrepancies
  • Identify issues and problems in service delivery and carry out necessary corrective action
  • Keep team Supervisor informed of issues; Ensure the issues log is updated and track progress
  • Provide technical support to compliance teams in relation to the compliance platform


  • Provide timely and professional responses to all enquiries
  • Keep Team Supervisor informed as to the daily work progress and status of requests
  • Maintain standards of personal and professional performance/behavior
  • Involvement in departmental ad-hoc projects, provide assistance for colleagues and manager
  • Involvement in the training and development of other team members
  • Demonstrate good time organizational skills in order to meet deadlines related to projects and daily work
  • What we value:

    These skills will help you succeed in this role:

  • Strong critical thinking, problem solving, and decision making skills
  • Education & Preferred Qualifications:

  • Accountancy/Business/Science related degree (preferred)
  • 2+ years of experience preferably in investment compliance or SQL/IT related function.
  • Very good numeracy and literacy skills
  • Excellent computer skills including knowledge of Excel spreadsheets and database applications
  • Ability to establish and maintain professional contacts and relationships within the company
  • A thorough understanding of departmental compliance platform is required
  • Knowledge of issues related to investment compliance
  • Accuracy and ability to work with deadlines
  • Knowledge of VBA would be an advantage
  • Proficiency with investment compliance monitoring system
  • Very good knowledge of English
  • Experience utilizing Bloomberg would be an asset
  • Ability to prioritize, pay attention to details and understand customer requirements
  • Strong understanding of SQL query language
  • Understanding or experience of Alteryx would be beneficial
  • Additional requirements:

  • Overtime may be required
  • 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 to help you 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.

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

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