APAC Investment Oversight, State Street Global Advisors, Officer

State Street Corporation
Hong Kong, Hong Kong
Feb 03, 2023
Mar 01, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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
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