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Investment Compliance Manager -Officer

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State Street

1mo ago

  • Job
    Full-time
    Senior (5-8 years)
  • Dublin

AI generated summary

  • You should possess strong investment compliance knowledge, analytical skills, and experience in regulatory frameworks. Effective communication and attention to detail are essential for this role.
  • You will ensure compliance with investment regulations, monitor portfolio activities, review transactions, and collaborate with teams to mitigate risks and enhance compliance practices.

Requirements

  • - Strong securities knowledge and / or pursuing the CFA designation
  • - Effective verbal and written communication skills and excellent interpersonal skills
  • - Excellent computer skills including knowledge of all Microsoft Office applications including Visual Basic
  • - Strong research and analytical skills
  • - Ability to develop and maintain business relationships both internal and external clients
  • - Experience with MIG21, Charles River or other automated compliance engine an advantage
  • - Bachelor's degree or equivalent with focus in business, accounting or finance
  • - Typically have 6+ years' experience in the Financial Services industry (preferably in Investment Compliance)

Responsibilities

  • You will manage a number of complex clients with varied fund types (e.g. UCITS, AIFs, Pension funds) and assist them with onboarding new funds and maintaining the compliance monitoring of their existing funds, reviewing Regulations, prospectuses and investment management guidelines.
  • Review and audit investment compliance restrictions and monitoring.
  • Address/respond to all client services inquiries and fully research all issues arising.
  • Conduct service review calls on a regular scheduled basis.
  • Assist senior management with designated compliance projects and assignments and act as coordinator where required.
  • Ensure detailed documentation is maintained for audit purposes.
  • Work with IT and data teams to ensure all client requirements are addressed.
  • Other duties as assigned.

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.

State Street

We’re at the heart of financial services. And our clients are at the heart of everything we do.

Finance
Industry
10,001+
Employees
1792
Founded Year

Mission & Purpose

At State Street, we partner with institutional investors all over the world to provide comprehensive financial services, including investment management, investment research and trading, and investment servicing. Whether you are an asset manager, asset owner, alternative asset manager, insurance company, pension fund or official institution, you can rely on us to be focused on your challenges. We are committed to doing what it takes to help you perform better — now and in the future.