Investment Compliance - Emerging Lead

State Street

Not specified
Sec requirements and investment guidelines
Prospectus/sai interpretation
Investment compliance rule matrix
State Street is seeking an Investment Compliance - Emerging Lead to provide comprehensive compliance support to mutual fund clients, ensuring adherence to SEC requirements and investment guidelines. The ideal candidate requires a strong understanding of investment compliance, excellent analytical skills, and experience in fund administration

Job Summary

  • Provide end-to-end support to investment company clients and their Compliance teams by sharing meaningful insights about the funds' ability to comply with SEC requirements and investment guidelines.
  • Onboarding of new clients for investment compliance by understanding client requirements, interpreting the prospectus/investment mandate, and extracting compliance restrictions to create a compliance rule matrix.
  • State Street Global Advisors (SSGA) is one of the biggest asset managers in the world, pioneering new ways to invest in index, ETF, and ESG investing.

Matching Summary

Match Score: 85

State Street is seeking an Investment Compliance - Emerging Lead to provide comprehensive compliance support to mutual fund clients, ensuring adherence to SEC requirements and investment guidelines. The ideal candidate requires a strong understanding of investment compliance, excellent analytical skills, and experience in fund administration.

Skills & Requirements

Must-have

  • SEC requirements and investment guidelines
  • Prospectus/SAI interpretation
  • Investment compliance rule matrix
  • U.S. Investment Companies Act of 1940 or UCITS
  • Financial services and capital markets

Nice-to-have

  • Strong communication and interpersonal skills
  • Deadline and detail oriented
  • Analytical and organizational skills
  • Alteryx workflow design
  • Charles River Development (CRD) exposure

Key Requirements

  • 4+ years in Fund Administration or related work
  • Investment compliance monitoring or coding experience
  • University degree in Business (Accounting, Finance, or Financial-related)

Work Rights

Not specified

Tailored Resume

Cover Letter