Head of APAC Investment Oversight, State Street Global Advisors, Vice President

State Street
Hong Kong, China
Not disclosed
25 Oct 2021
25 Nov 2021
Approved employers
Approved employer
Contract type
Full time
Experience level
Who we are looking for

The Investment Oversight Vice President will provide compliance support for the investment management operations and other functions of State Street Global Advisors.  The individual will be responsible for leading the APAC Investment Oversight team which includes overseeing the monitoring of regulatory requirements and specific client mandates as well as other specialized areas of Investment Oversight.

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 Head of APAC Investment Oversight , you will

  • 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 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;
  • 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..)
  • Manage local Investment Oversight team
  • 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
  • 8+ years’ experience in the investment management field including experience in investment portfolio compliance or other areas of 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

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 by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to flexible Work Programs 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 perspectives 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 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 programs 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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