Investment Compliance - Manager

STATE STREET

Not specified; not specified; competitive benefits...
9+ years fund administration experience
Investment compliance monitoring or coding
Knowledge of u.s. investment companies act 1940
The role involves providing end-to-end support to investment company clients by interpreting SEC requirements and investment guidelines

Job Summary

  • The role involves providing end-to-end support to investment company clients by interpreting SEC requirements and investment guidelines.
  • Responsibilities include onboarding new clients, creating compliance rule matrices, and performing annual reviews against updated prospectuses.
  • State Street offers a competitive benefits package, flexible work programs, and opportunities for professional development in a diverse environment.

Matching Summary

The role involves providing end-to-end support to investment company clients by interpreting SEC requirements and investment guidelines.

Salary

Not specified; Not specified; Competitive benefits package including medical care, insurance, savings plans, and paid volunteer days

Skills & Requirements

Must-have

  • 9+ years Fund Administration experience
  • Investment compliance monitoring or coding
  • Knowledge of U.S. Investment Companies Act 1940
  • Prospectus and SAI interpretation skills
  • Compliance rule matrix extraction

Nice-to-have

  • FRM, CFA, or CISI certification preferred
  • Charles River Development (CRD) exposure
  • Visual Basic Applications (VBA) coding
  • Strong communication and interpersonal skills
  • Advanced MS Excel proficiency

Key Requirements

  • University degree in Business, Accounting, Finance, or related field
  • Minimum 9 years of experience in Fund Administration
  • Mandatory investment compliance monitoring or coding experience
  • FRM, CFA, or CISI certifications are preferred but not required

Work Rights

Not specified

Tailored Resume

Cover Letter