Job Description
Job Title: EMEA Investment Oversight, State Street Global Advisors, Vice President 1
Reports To: Head of EMEA Investment Oversight
Key Responsibilities:
* Assist with the day-to-day oversight of the team
* Identify and introduce ways to ensure the team continue to be effective and work optimally
* The main point of contact for the team in the absence of the team manager
* Represent EMEA IO during client meetings and internal project workstreams
* Review and interpret governing documents such as prospectuses, supplements and investment management agreements; identify and resolve interpretive issues; and review investment restrictions
* Review account extraction/modification forms and system-coding performed by a team of analysts to ensure accuracy
* Manage new account set-up and rule maintenance process to ensure new accounts and updates to guidelines are accurately completed and reviewed according to procedure
* Monitor new account/amendment onboarding process to ensure that appropriate reviews and sign-offs are timely obtained
* Develop, test, and implement automated rules with the monitoring systems and manual monitoring procedures for non-automated rules to ensure accuracy of all account guidelines, instructions, and mandates
* Understand the pre and post trade incident workflows
* Analyze compliance breach trends, identify root causes, and resolve potential systemic issues, including recommending process design improvements and operational efficiencies
* Develop or enhance policies and procedures related to investment compliance processes, with a focus on establishing globally consistent best practices
* Work with IT, data, and system vendors to identify ways to further enhance automation and testing within the compliance systems
* Effectively liaise with internal and external auditors in the facilitation of control reviews and associated testing
Qualifications:
* 6-9 years of experience in the investment management field, including portfolio compliance or other areas of regulatory compliance
* Charles River (CRD) / Sentinel coding experience
* Proficient in Bloomberg
* Knowledge of the European regulatory requirements
* Demonstrated high-level analytical and problem-solving skills
* Ability to make, validate and act on decisions using sound and logical judgment as well as influencing/assisting others to make these decisions using established regulatory guidance, policies, and procedures
* Fluent in various investment types, including currency, fixed income, equity, and derivatives
* Demonstrated analytical skills to effectively interpret governing compliance documents such as investment management agreements, prospectuses, and client guidelines/instructions
* Team player, proactive, adaptable, and self-motivated
* Ability to manage multiple priorities while maintaining attention to detail
* Effective communication and interpersonal skills
* Strong computer skills including knowledge of Excel and PowerPoint
End Date: July 9, 2025
For further information, and to apply, please visit our website via the “Apply” button below.
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