Investment Compliance Analyst

State Street Corporation
17 Jul 2017
17 Aug 2017
Job Role
Risk Manager
Contract Type

Purpose of Role: Compliance Analyst supports the Investment Compliance monitoring functions in donor sites. They insure that breaches are properly identified, documented and reported in a timely and professional manner. Responsibilities: TECHNICAL COMPETENCIES ANALYS AND REPORTING OF EXCEPTIONS First level review of the exceptions alerted by the automated fund-compliance platform (MIG21) including the validation & analysis of the exceptions and collection of the supporting material Ensure that breaches are reported to Investment Compliance Teams in Donor sites promptly and accurately Ensuring that a clear audit trail is documented at all stages of the breach reporting process Perform data preparation, recon and augmentation to ensure high quality data basis is used as basis for the investment restriction controls OTHER Involvement in departmental ad-hoc projects Make recommendations for changes to processes and procedures and prepare documentation for review as required NON - TECHNICAL COMPETENCIES COMMUNICATION Resolve review points highlighted by senior fund compliance analyst and team supervisor and ensure they are kept informed of progress Establish and maintain good working relationships with internal clients and colleagues ORGANISATION Undertake appropriate housekeeping duties e.g. filing, archiving, operation of clean desk policy TRAINING AND PERSONAL DEVELOPMENT Work with Senior Investment Compliance Analyst / Team manager to identify objectives at the start of each year and keep them up to date Actively participate in the appraisal process by completing a self-evaluation and suggesting appropriate development Take responsibility for personal development and training Specific Qualifications / Skills: Numeracy / Literacy skills. Accuracy and ability to work to tight deadlines. PC literate and competent in use of spreadsheets and word processing. Basic understanding of investment compliance would be useful but not essential. Excellent English. Critical Behaviors for Success as defined by the PPR System at Core level: Takes Ownership and Initiative Ensures accuracy and quality Provides outstanding service Communicates Effectively Displays Insight & Influence Fosters Collaboration and Teamwork Level Of Education: Accountancy or Business related degree (preferred) Previous Level Of Experience: Previous experience in investment compliance preferred but not essential.