The Investment Oversight Analyst will provide compliance support for the investment management operations and other functions of State Street Global Advisors.  The individual will be responsible for supporting Investment Oversight, including the monitoring of regulatory requirements and specific client mandates as well as other specialized areas of Investment Oversight. Specific responsibilities may include:

Key Responsibilities:      

• performing pre and post trade compliance monitoring for all asset classes on commingled funds, separately managed accounts, and registered funds;
• developing, testing, and implementing automated rules within the monitoring systems and manual monitoring procedures for non-automated rules;
• reading governing documents such as Prospectuses, SAIs, Fund Declarations, Strategy Disclosure 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;
• 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;
• working with IT, Data, and system vendors to identify ways to further enhance automation in the compliance system;
• working with internal and external auditors to facilitate controls reviews;
   

Qualifications

• Bachelor's degree in Finance, Accounting or Economics is preferred
• 1-3 years’ experience in the investment management field including experience in investment portfolio compliance or other areas of compliance
• Charles River (CRD) / Sentinel coding experience
• Proficient in Bloomberg
• Ability to work under pressure
• Ability to read governing compliance documents such as IMAs and Prospectus/SAI – please expand
• 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
• Proficient in Microsoft Word and Excel
• Knowledge of the EMEA based Regulations, UCITs, AIF, COLL, KVG funds