Your new team

The position is available within State Street's department entirely dedicated to supporting Charles River Development (CRD). The company functions as part of State Street group and provides an end-to-end solutions to automate front and middle office investment management functions across asset classes on a single platform. Delivered as a hosted service, the solution improves data quality and investment professional productivity, controls risk and lowers technology costs. Charles River serves more than 350 investment firms in over 40 countries in the institutional asset and fund management, private wealth, alternative investments, insurance, banking, and pension markets.

In 2016, CRD established a Compliance Advisory Service (CAS) in the EMEA region in response to demand from clients. The aim of establishing CAS in this region was to be consistent with the continuing investment to ensure that CRD is recognised as the leading provider of solutions in compliance and regulation for buy-side asset managers, pension funds, insurers and wealth managers. With the CAS team firmly established in EMEA, the Service has become global in nature, providing a service to our clients around-the-clock.

Who we are looking for

An individual with direct experience working within financial services, legal, securities trading and/or investment management compliance who has sound understanding of Investment Compliance related regulations .

Your new role

The focus of this role is primarily to provide hands-on delivery of compliance services to our buy-side clients.

As a Senior Compliance Analyst, Officer you will:

• Deliver the following service-related functions for Compliance Services clients:

  • Initial service setup/implementation, including business requirements such as regulatory/legal requirements, business processes/workflows, exception management, reporting, and rules of engagement

  • Compliance software rule writing/testing, report writing, exception management

  • Compliance software configuration changes.

  • Compliance software upgrade/regression testing.

  • Problem troubleshooting, support, and resolution.

  • Advising clients on “best practices” and optimal use of Compliance software.

• Keep abreast of regional and global industry trends and regulatory issues.

• Work closely with colleagues in Charles River regions globally to design and deliver regionally-relevant services

• Effectively manage the internal systems, applications and controls (e.g. Salesforce) to ensure adherence to the Global Compliance Services Workflow Procedures.

• Provide exemplary customer service

• Troubleshoot and provide Compliance issue resolution

• Assist clients in optimal use of the system

What we value

Experience & Qualifications:

• Direct experience working within a Investment Management Compliance Department, ideally within the Investment Management/Trading space will be an important asset

• CFA Certification, FRM Financial Risk Manager or CRM Certified Risk Manager certification would be an important asset

• Strong knowledge of Investment Compliance related regulations e.g. UCITS, MMF, The Investment Company Act of 1940, and National Instrument 81-102 (any of the listed)

• Bachelor’s degree in Business Administration, Finance or a Technical Discipline required

• Experience using a Rules based Compliance Engine is highly preferable. Experience with any of the following software is highly desired: Charles River IMS, MIG21, other Trade Order Management and Middle or Back Office trading applications

• Fluency in English essential

• Fluency in French or German advantageous but not essential

Required competencies:

• Ability to understand and decipher Prospectus, Statement of Additional Information, Investment Policies and Client Guidelines

• Good understanding of different financial instruments and mechanisms driving fund industry

• Ability to perform as a team member in a fast-paced, high-growth, mission critical service delivery environment

• Strong proficiency using windows-based applications, including MS Office applications such as Word, Excel, PowerPoint, Access, and MS Project.

• Strong analytical skills and strict attention to detail

• Excellent interpersonal, verbal, and written communication skills

• Excellent time-management skills

What we offer

• Employee savings plan

• Premium life insurance package

• VIP medical package

• Multisport Plus card

• Language classes

• Soft skills trainings and technical workshops

• Development sessions with a mentor

• Diversity of opportunities across a range of challenging and highly complex activities

• Technical or leadership career pathway