Investment Compliance- Senior Associate
State Street CorporationMatch Score
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Job Description
Structured overview of role & requirementsAbout This Role
Own the onboarding and annual review of investment compliance rules matrices for mutual fund clients by interpreting prospectus and investment mandates.
Liaise with clients and coding teams to maintain accurate compliance rules and ensure correct daily and monthly compliance reporting.
Identify, analyze, and recommend procedural changes to mitigate operational risks related to investment compliance and adhere to defined processes and standards.
Minimum Requirements
Minimum 4+ years overall experience in Fund Administration or related, with mandatory investment compliance monitoring or coding experience (pre or post-trade).
University degree in Business with a major in Accounting, Finance, or other Financial-related programs.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS.
Work Experience Required: 4+ years, Notice Period: Not explicitly mentioned in the JD.
Ideal Candidate Profile
Demonstrated ability to interpret complex investment guidelines and translate client requirements into actionable compliance rules for internal teams.
Experienced in collaborating with multiple stakeholders including clients, client service, coding teams, and business units in asset management environment.
Comfortable with analytical tools like Alteryx workflows and SQL and familiarity with compliance systems coding and maintenance.