Investment Compliance Specialist, Senior Associate

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Who We Are Looking For

We are looking for an Investment Compliance Specialist reporting directly to Supervisor or Manager. You will engage in various projects, non-standard analysis and initiatives related to technical aspects of the business. Provide technical support to Supervisor and Compliance teams to ensure all deliverables are produced and dispatched on time in accordance with SLA and agreed quality standards.

Why this role is important to us

You will be joining the Institutional Services function that allows us to deliver a comprehensive, holistic approach to each client relationship — for asset managers and asset owners, insurance companies, and official institutions globally. It means our client-facing functions work together to bring the very best solutions and services the firm has to offer — across all of our locations, products, and capabilities.

Join us if making your mark on the long-lasting client relationships we build is a challenge you are up for.

What You Will Be Responsible For

• Review current operational process, recommend improvements and implement them
• Compare processes across department and suggest role model
• Suggest system enhancements
• Review rule syntax and make changes if applicable/required
• Update system with data if required
• Ensure documentation exists for any client-specific procedures
• Participate as technical SME in the system development. Provide regular progress reports and give feedback during project meetings.
• Track system/IT issues across department and provide trends overview on a monthly basis
• Act as focal point of contact for technical issues encountered in the daily business. Track progress and elevate if needed
• Contribute to analysis and planning of operating model with the aim of standardizing processes and establishing best practice
• Review the work of others
• Liaise with other internal clients and supporting departments for the purpose of obtaining key inputs to service delivery, resolving errors and discrepancies
• Assist Team Supervisor in the organization of the Team and in ensuring that departmental procedures and controls are adhered to
• Take leading role in setting client-specific solutions within the compliance system
• Support Team Supervisor to ensure that accurate KPI are created and disseminated to the donor site.
• Provide technical support to compliance teams in relation to the compliance platform
• Provide timely and professional responses to all enquiries
• Keep Team Supervisor informed as to the daily work progress and status of requests
• Keep Manager updated with regards to project progress
• Establish and maintain good working relationships with internal clients and colleagues. Demonstrate collaboration with other teams and departments
• Demonstrate flexibility by supporting different client groups as well as contributing to a range of projects
• Maintain standards of personal and professional performance/behavior
• Demonstrate good time organizational skills in order to meet deadlines related to projects and daily work

What We Value

• Accuracy and ability to work with deadlines
• Ability to prioritize, pay attention to details and understand customer requirements
• Take ownership and initiative
• Ensure accuracy and quality
• Provide outstanding service
• Communicate effectively
• Engage and motivate others by empowering colleagues to make decisions and to take controlled actions.
• Foster collaboration and teamwork
• Understand the need of change
• Consistently demonstrate the need of flexibility
• Demonstrate a strong time management
• Remain calm and controlled when the pressure is on
• Encourage professional challenge and debate
• Ask questions- be approachable and be open to different ideas.
• Ability to be flexible
• Support and reward innovation
• Demonstrate a good understanding of the SOP
• Understand Corporate Goals and Strategies

Education & Preferred Qualifications

• Excellent English
• Numeracy/ Literacy skills
• Excellent computer skills including knowledge of Excel spreadsheets and database applications
• A thorough understanding of departmental compliance platform is required
• Knowledge of VBA would be an advantage
• Strong understanding of SQL query language would be an asset
• Proficiency with investment compliance monitoring system
• Accountancy/Business/Science related degree (preferred)
• 3+ years of experience in fund compliance is required

About State Street

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.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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Job ID: R-779468