Investment Compliance Analyst, Associate 2
State Street CorporationMatch Score
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Protocol Intelligence
Data-driven signals on your job's competitivenessTier-1 brand, metro location, mid-level compliance role with broad finance skillset drives high competition.
Specialized mutual fund, SEC and UCITS compliance knowledge limits cross-industry transferability.
Requires specific regulatory and fund compliance skills but no explicit years, so medium strictness.
Job Description
Structured overview of role & requirementsAbout This Role
Own client onboarding for investment compliance by interpreting prospectus/investment mandates to create compliance rule matrices.
Perform annual reviews and ad-hoc research to ensure portfolios comply with SEC requirements and investment guidelines.
Coordinate with coding teams to maintain accurate compliance reporting systems and resolve issues promptly.
Minimum Requirements
Knowledge of U.S. Investment Companies Act of 1940 or UCITS required.
Experience analyzing investment guidelines to determine testing requirements.
Professional experience in financial services, securities sector, or capital markets.
Work Experience Required: Not explicitly mentioned in the JD
Ideal Candidate Profile
Strong understanding of investment compliance with ability to translate regulatory requirements into actionable internal tasks.
Experience interfacing with clients and internal teams to maintain and update compliance systems.
Detail-oriented with ability to identify operational risks and ensure adherence to Standard Operating Procedures.