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Your new team
The position is available within State Street's department entirely dedicated to supporting Charles River Development (CRD). The company functions as part of State Street group and provides an end-to-end solutions to automate front and middle office investment management functions across asset classes on a single platform. Delivered as a hosted service, the solution improves data quality and investment professional productivity, controls risk and lowers technology costs. Charles River serves more than 350 investment firms in over 40 countries in the institutional asset and fund management, private wealth, alternative investments, insurance, banking, and pension markets.
In 2016, CRD established a Compliance Advisory Service (CAS) in the EMEA region in response to demand from clients. The aim of establishing CAS in this region was to be consistent with the continuing investment to ensure that CRD is recognised as the leading provider of solutions in compliance and regulation for buy-side asset managers, pension funds, insurers and wealth managers. With the CAS team firmly established in EMEA, the Service has become global in nature, providing a service to our clients around-the-clock.
Who we are looking for
An individual with direct experience working within financial services, legal, securities trading and/or investment management compliance who has sound understanding of Investment Compliance related regulations .
Your new role
The focus of this role is primarily to provide hands-on delivery of compliance services to our buy-side clients.
As a Senior Compliance Analyst, Officer you will:
Deliver the following service-related functions for Compliance Services clients:
Initial service setup/implementation, including business requirements such as regulatory/legal requirements, business processes/workflows, exception management, reporting, and rules of engagement
Compliance software rule writing/testing, report writing, exception management
Compliance software configuration changes.
Compliance software upgrade/regression testing.
Problem troubleshooting, support, and resolution.
Advising clients on “best practices” and optimal use of Compliance software.
Keep abreast of regional and global industry trends and regulatory issues.
Work closely with colleagues in Charles River regions globally to design and deliver regionally-relevant services
Effectively manage the internal systems, applications and controls (e.g. Salesforce) to ensure adherence to the Global Compliance Services Workflow Procedures.
Provide exemplary customer service
Troubleshoot and provide Compliance issue resolution
Assist clients in optimal use of the system
What we value
Experience & Qualifications:
Direct experience working within a Investment Management Compliance Department, ideally within the Investment Management/Trading space will be an important asset
CFA Certification, FRM Financial Risk Manager or CRM Certified Risk Manager certification would be an important asset
Strong knowledge of Investment Compliance related regulations e.g. UCITS, MMF, The Investment Company Act of 1940, and National Instrument 81-102 (any of the listed)
Bachelor’s degree in Business Administration, Finance or a Technical Discipline required
Experience using a Rules based Compliance Engine is highly preferable. Experience with any of the following software is highly desired: Charles River IMS, MIG21, other Trade Order Management and Middle or Back Office trading applications
Fluency in English essential
Fluency in French or German advantageous but not essential
Ability to understand and decipher Prospectus, Statement of Additional Information, Investment Policies and Client Guidelines
Good understanding of different financial instruments and mechanisms driving fund industry
Ability to perform as a team member in a fast-paced, high-growth, mission critical service delivery environment
Strong proficiency using windows-based applications, including MS Office applications such as Word, Excel, PowerPoint, Access, and MS Project.
Strong analytical skills and strict attention to detail
Excellent interpersonal, verbal, and written communication skills
Excellent time-management skills
What we offer
Employee savings plan
Premium life insurance package
VIP medical package
Multisport Plus card
Soft skills trainings and technical workshops
Development sessions with a mentor
Diversity of opportunities across a range of challenging and highly complex activities
Technical or leadership career pathway
About State Street:
What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.
Inclusion, Diversity and Social Responsibility. We truly believe our employees’ diverse backgrounds, experiences and perspective are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome the candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift program and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.
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