You will have direct experience working with financial services, legal, securities trading and/or investment management compliance. You will also have 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, and strong knowledge of Investment Compliance related regulations e.g. UCITS, MMF, The Investment Company Act of 1940, and National Instrument 81-102. (@ min UCITS). The role is dynamic, you will need ability to perform as a team member in a fast-paced, high-growth, mission critical service delivery environment, as well as strong organizational skills. You will also display initiative and will be self-driven.
What you will be responsible for
As Compliance Analyst you will provide hands-on delivery of compliance services to our buy-side clients. The position requires a candidate who can perform the following:
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.
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
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.
Creative and effective problem solving skills.
Excellent time-management skills.
Education & Preferred Qualifications
Bachelor's degree in Business Admin, Finance or a Technical Discipline required.
Direct experience working within a 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.
Knowledge of SQL is a plus.
Experience using a Rules based Compliance Engine is highly preferable. Experience with any of the following software is desired, in order of preference:
Charles River IMS,
Non-Charles River Trade Order Management software,
Middle or Back Office trading applications, or Financial applications
Fluency in English essential.
Fluency in French or German advantageous but not essential.
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. Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You'll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential. Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspectives 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 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 programs and access to employee networks that help you stay connected to what matters to you.