Investment Compliance -Senior Associate-Dublin

State Street Global Advisors.
Dublin, Ireland
Oct 23, 2019
Oct 27, 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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General Overview:
Responsible for reviewing compliance on mutual funds related to Regulatory and Investment Manager (IM) mandates. Utilizing State Street's Investment Compliance Services platform, the qualified candidate will communicate directly with the client and IM's to ensure portfolios are in compliance with their investment restrictions.

In the role of Investment Compliance you will be responsible for:

Responsibilities :
  • Prepare and audit investment compliance reporting for a select group of clients
  • Client service experience and knowledge experience of UCITS Regulations and investment compliance
  • Address/respond to all client inquiries and fully research all issues arising
  • Conduct service review calls with clients on a regular scheduled basis
  • Ensure client deliverables are completed in a timely manner and follow-up with internal groups where necessary
  • With limited supervision, facilitate direct contact with clients and other internal groups
  • Assist senior management with designated compliance projects and assignments and act as coordinator where required
  • Work directly with new clients when setting up investment compliance tasks
  • Ensure detailed documentation is maintained for audit purposes
  • Train analysts and senior analysts on systems and processes to be used
  • Other duties as assigned.

To be successful in this role, your experience should include

  • Bachelor's degree or equivalent with focus in business, accounting or finance.
  • Typically have 4 years' experience in the Financial Services industry (preferably in Investment Compliance)
  • Strong securities knowledge and / or pursuing the CFA designation
  • Demonstrated client serviceability
  • Effective verbal and written communication skills and excellent interpersonal skills
  • Excellent computer skills including knowledge of word processing, spreadsheet and database applications
  • Strong research and analytical skills
  • Ability to develop and maintain business relationships within the business unit and across the corporation
  • Experience with market information sources such as Bloomberg

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