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We’re committed to providing an inclusive environment where all employees feel valued and supported. Join us and make your mark at State Street. 

Investment Compliance Analyst

Purpose Of Role: A successful candidate will be responsible for implementing compliance restrictions on mutual funds related to Regulatory and Investment Manager (IM) mandates utilizing compliance platform. This will include coding and updating automated tests in the system. A qualified candidate will communicate directly with the client service teams to set up portfolios with their investment restrictions.

Specific Duties:

TECHNICAL COMPETENCIES

• Code and update automated tests within compliance platform which is utilizing a SQL/MQL.
• Develop macros for daily business with VBA usage.
• Import new funds into the system.
• Associate particular funds to their corresponding rules according to the documentation.
• Control data management in internal system based on SQL queries.
• Check compliance of prospectus and investment guidelines.
• Resolve arisen issues, like lack of data or misinterpretation restrictions.
• Work directly with other teams within the company in order to determine best approach or to obtain clarification.
• Conduct service review calls on a regular scheduled basis.
• Ensure deliverables are completed in a timely manner and follow-up with internal groups where necessary.
• Assist manager with designated compliance projects and assignments and act as coordinator where required.
• Ensure detailed documentation is maintained for audit purposes.
• Participate in both short and long term projects, like setting up new clients in system.
• Support technical product development with
• Appropriate software tools (e.g. VBA, SQL).

NON - TECHNICAL COMPETENCIES

COMMUNICATION

• Resolve review points highlighted by their manager and ensure they are kept informed of progress.
• Establish and maintain good working relationships with internal clients and colleagues.

ORGANISATION

• Demonstrate good time organizational skills in order to meet deadlines.
• Adhere to clean desk policy and record keeping.

TRAINING AND PERSONAL DEVELOPMENT

• Work with their manager to identify objectives at the start of each year and keep them up to date.
• Actively participate in the appraisal process by completing a self-evaluation and suggesting appropriate development.
• Take responsibility for personal development and training.

Specific Qualifications/ Skills:

Education, Experience and Skills:

• Excellent computer skills including knowledge of Excel spreadsheets and database applications.
• Strong research and analytical skills.
• Accuracy and ability to work with deadlines.
• Ability to develop and maintain business relationships within the business unit and across the corporation.
• Basic understanding of investment compliance would be an asset but not essential.
• Experience utilizing Bloomberg would be an asset.
• Familiarity with any programming or database query language would be an asset.
• Knowledge of VBA and SQL would be an advantage.
• Very good knowledge of English.
• Ability to work under pressure, prioritize, keep attention to detail and understand client requirements.
• Strong organizational, communication and analytical skills.
• Team player strengths.
• Precise and thorough working style.

   

  Critical Behaviors for Success:

• Takes Ownership and Initiative
• Ensures accuracy and quality

• Provides outstanding service

• Communicates Effectively
• Displays Insight & Influence
• Fosters Collaboration and Teamwork