FAQs
What is the primary responsibility of the Investment Compliance Manager - Officer?
The primary responsibility is to manage a number of complex clients with varied fund types (e.g. UCITS, AIFs, Pension funds), assist with onboarding new funds, and maintain compliance monitoring of existing funds, including reviewing regulations, prospectuses, and investment management guidelines.
Can this role be performed remotely?
Yes, this role can be performed in a hybrid model, allowing for a balance of work from home and office to suit the needs and requirements of the role.
What specific duties will I be expected to perform in this role?
Specific duties include reviewing and auditing investment compliance restrictions, addressing client inquiries, conducting service review calls, assisting senior management with compliance projects, maintaining detailed documentation for audit purposes, and collaborating with IT and data teams to meet client requirements.
What qualifications are preferred for this position?
A Bachelor's degree or equivalent with a focus in business, accounting, or finance is preferred, along with typically having 6+ years of experience in the Financial Services industry, particularly in Investment Compliance.
What skills are important for succeeding in this role?
Important skills include strong securities knowledge (with preference for those pursuing the CFA designation), effective verbal and written communication skills, excellent computer skills including proficiency in Microsoft Office applications, strong research and analytical skills, and the ability to build and maintain business relationships.
Is experience with specific compliance engines advantageous for this role?
Yes, experience with MIG21, Charles River, or other automated compliance engines is considered an advantage.
Where is the company, State Street Corporation, located?
State Street Corporation is located in London, United Kingdom.
What is the job ID for this position?
The job ID for the Investment Compliance Manager - Officer position is R-754175.