Investment Compliance, Senior Associate

Purpose of the Role

Investment Compliance Specialist's core responsibility is monitoring of compliance results on client portfolios and coordinating work of the team. Under the supervision of Manager, the Investment Compliance Specialist will engage in various projects, non-standard analysis and initiatives related to technical aspects of the business.

Specific Duties

Accountability over Service Delivery

• Take responsibility for the quality and timelines of service provided and ensure team meets green KPI target  

• Take a leading role in the review of processes, procedures, controls and initiate remedial action as necessary

• Participate as technical SME in the development, testing and implementation of new systems and products

• Raise, escalate and track resolution progress of  operational issues, provide timely updates and report status

• Evaluate continuing effectiveness and accuracy of the process in order to suggest improvements and create developments.

• Contribute to analysis and planning of operating model with the aim of standardizing processes and establishing best practice

• Assist in operational capacity  calculation of your team/function/unit 

Leadership and Management

• Monitor the performance of the team, provide regular feedback to employees and to team manager regarding daily work

• Liaise with internal clients and supporting departments for the purpose of obtaining key inputs to service delivery, resolving errors and discrepancies

• Assist Team  Manager in the organization of the Team

• Take leading role in setting client-specific solutions within the compliance system

• Co-ordinate and implement training and development activities to individuals, your team or where applicable to your department

• Help other team members to understand the process and technical aspects of daily activities to allow them proposing new ideas and improvements within team’s area of responsibility

• Delegate tasks related to daily processes and additional project to other team members,  control the progress

Manage Relationships & Communication

• Provide regular progress reports and give feedback during project meetings

• Develop and maintain close contact with Manager and Donor Site, briefing them on all issues and problems both actual and potential

• Represent your team and department in meetings and interactions with internal partners/external clients/other departments or units

• Provide timely and professional responses to all enquiries

• Demonstrate flexibility by supporting different teams as well as contributing to a range of projects departmental wide

• Maintain high standards of personal and professional performance/behavior

Specific Qualifications & Skills

• Advanced technical and financial knowledge regarding Investment Compliance processes and systems

• Excellent computer skills including knowledge of Excel spreadsheets and database applications

• Accuracy and ability to work with deadlines.

• Understanding of SQL query language and VBA  would be an asset

• Excellent English

• Proactivity and creativity in issues solving

• Promoting an active and committed attitude, be open to questions and discussions

• Motivating colleagues to make independent decisions

• Demonstrate effective time management and good organizational skills in order to meet deadlines related to projects and daily work 

• Accountancy/Business/Science related degree (preferred)

• At least 3 years of previous experience in fund industry/back office service.

Work Environment

1. As relates to Employee’s job related task and duties Employee is responsible towards his direct Superior.

2. All issues with which Employee turns to the one level up Manager should have been discussed with his direct Superior.

3.  Employee has the right to appeal from every decision of his direct Superior to the one level up Manager.

Employee’s responsibility rules

1. Employee is made accountable for all his job duties and State Street’s property entrusted to him.

2. Employee's responsibility concerns at equal degree entrusted duties, decisions taken and the initiative required at the given position.

3. Employee is responsible at equal degree for decisions taken and not taken when the situation requires that.

4. Employee commits not to disclose any information that might be