Compliance Analyst - SSgA, Officer
Boston , Massachusetts
October 26, 2016
Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.
Our promise to maintain an environment where every employee feels valued and able to meet their full potential infuses our company values. It's also part of our commitment to inclusion, development and engagement, and corporate social responsibility. You'll have tools to help balance your professional and personal life, paid volunteer days, and access to employee networks that help you stay connected to what matters to you. Join us.
State Street is an Affirmative Action/ Equal Opportunity Employer/Vet/Disability.

Job Description
  • Performing pre and post trade compliance monitoring for all asset classes on commingled funds, separately managed accounts, and registered funds.
  • Developing, testing, and implementing automated rules within the monitoring systems and manual monitoring procedures for non-automated rules.
  • Reading governing documents such as Prospectuses, SAIs, Fund Declarations, Strategy Disclosure Documents, and Investment Management Agreements.
  • Identifying and resolving interpretive issues, and reviewing investment restrictions.
  • Extracting compliance restrictions from governing documents for new accounts and amendments, and coding those restrictions into the compliance systems.
  • Completing required new account/amendment documentation, including obtaining all necessary signatures, prior to the effective date.
  • Tracking new account and amendment onboarding status, providing reporting and updates to management.
  • Developing or improving policies and procedures related to compliance processes, with a focus on establishing globally consistent standards.

  • Bachelor's degree in Finance, Accounting or Economics is preferred.
  • 1-3 years' experience in the investment management field including experience in investment portfolio compliance or other areas of compliance.
  • Ability to read and interpret governing compliance documents such as IMAs and Prospectus/SAI.
  • Ability to work independently, lead multiple priorities while remaining detail oriented.
  • Strong analytical, organizational and communication skills.
  • Work collaboratively with various levels of the organization.
  • A great teammate, enthusiastic, adaptable, and self-motivated.
  • Proficient in Microsoft Word and Excel.
  • Knowledge of the Investment Company Act of 1940 and/or ERISA is a plus.
  • Knowledge of Sentinel and Bloomberg compliance systems is preferred.

Job Opening ID

Boston - MA - USA

Closing Statement
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