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 and applications.

This role can be performed in a hybrid model, where you can balance work from home and office to match your needs and role requirements.

Your new role

The focus of this role is primarily to provide hands-on delivery of compliance services to our buy-side clients. It will also play a key role in the development of the service in EMEA region. The role requires strong analytical skills and strict attention to detail.
As an Investment Compliance Manager, Assistant Vice President you will:

• Assist in the development and enhancement of Charles River Compliance Rule Advisory Service (“CRAS”)

• Assist in developing and evolving standardized, efficient processes in support of Compliance Rule Advisory Services delivery.

• Assist Senior Compliance Manager in managing the CRAS team.

• Perform 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 testing

  • Problem troubleshooting, support, and resolution

  • Advising clients on “Best Practices” and optimal use of Compliance software

• Maintain current knowledge of regulatory issues in the global market

• Maintain understanding of current and upcoming rules by analysis or regulatory Consultation papers, Guidance and establishing and maintaining contact with regulatory bodies

• 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.

• Provide exemplary customer service

• Troubleshoot and provide Compliance issue resolution

• Assist clients in optimal use of the system

• Assist with the creation and documentation of internal policies and procedures

What we value

Experience & Qualifications:

• Compliance related experience with mutual funds, institutional accounts, insurance, hedge funds, private equity, or wealth management.

• Experience interpreting and implementing regulations such as UCITS, Solvency II or other regulatory framework within a software platform is essential.

• 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

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

• People management experience or previous experience mentoring or developing people

• Experience with monitoring shareholder disclosure/ foreign beneficial ownership is a plus

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

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

• 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

• Knowledge of SQL is a plus

Competencies and skills:

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

• General knowledge of database systems and how an automated compliance environment functions

• 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

• Fluency in English essential

• Strong organizational skills

• Creative and effective problem solving skills

• Excellent time-management skills

What we offer

• Permanent contract of employment from day one

• Additional holidays (Birthday Day Off, 3rd and 5th year anniversary Day Off)

• Gold medical package for employees and their families (partner and children)

• Premium life insurance package and private pension plan

• Employee savings plan

• Multisport Card

• Wide range of soft skills training, technical workshops, language classes and development programs

• Opportunities to volunteer your time to company-driven initiatives, employee networks or organizations of your choice

• Variety of well-being programs

• Technical or leadership career pathway