To perform various Investment Compliance tasks in support of SSgA portfolios managed in North America, Europe and Asia Pacific.
Key Responsibilities:
Assist regional SSgA offices in North America, Europe, and Asia Pacific by performing various Investment Oversight tasks associated with the review of Sentinel Rule Coding to ensure adherence to global investment industry regulations, as well as internal firm guidelines.
Responsible for daily post trade monitoring, Incident management and extraction and coding in Compliance systems.
Proactively manage the follow-up and escalation to ensure timely completion of tasks or projects, and escalation of breaches and other issues.
Serve as a point of contact for various SSGA departments to communicate compliance requirements, firm and industry regulations and guidelines regarding trade compliance.
Collaborate with the global counterparts to evaluate current processes, identify areas for improvement, and suggest and implement solutions.
Take part in various calls with global partners and other global stakeholders to discuss process metrics, improvements and issues related to accuracy.
Work with technology partners in automation and system enhancement projects; escalate and raise system related issues and system improvement requirements.
Ensure active involvement and partnership in global projects, stretch assignments and local as well as global initiatives.
Key Skills / Attributes:
Strong sense of ethics and personal integrity.
Strong analytical approach and demonstrated problem-solving skills.
Ability to actively communicate concerns.
Attention to detail.
Knowledge of different financial products and investment strategies
Stakeholder management and strong communication as well as people management skills.
Excellent organizational skills.
Ability to work in conditions involving time and resource constraints.
Job requirements:
8 -10 years of experience in the Investment Compliance domain, preferably with people management experience.
Good understanding of the financial services industry and regulations.
Experience in Sentinel / Charles River or other Investment Compliance applications
Equivalent to a Bachelor’s or Master’s degree in Business, Finance, Engineering, or related.
Good understanding of technology and ability to work with different automation tools.
