EMEA Investment Oversight, State Street Global Advisors, Vice President 1

Job Title: EMEA Investment Oversight, State Street Global Advisors, Vice President 1
Reports To: Head of EMEA Investment Oversight

Key Responsibilities:

• Assist with the day-to-day oversight of the team

• Identify and introduce ways to ensure the team continue to be effective and work optimally

• The main point of contact for the team in the absence of the team manager

• Represent EMEA IO during client meetings and internal project workstreams

• Review and interpret governing documents such as prospectuses, supplements and investment management agreements; identify and resolve interpretive issues; and review investment restrictions

• Review account extraction/modification forms and system-coding performed by a team of analysts to ensure accuracy

• Manage new account set-up and rule maintenance process to ensure new accounts and updates to guidelines are accurately completed and reviewed according to procedure

• Monitor new account/amendment onboarding process to ensure that appropriate reviews and sign-offs are timely obtained



• Develop, test, and implement automated rules with the monitoring systems and manual monitoring procedures for non-automated rules to ensure accuracy of all account guidelines, instructions, and mandates

• Understand the pre and post trade incident workflows

• Analyze compliance breach trends, identify root causes, and resolve potential systemic issues, including recommending process design improvements and operational efficiencies

• Develop or enhance policies and procedures related to investment compliance processes, with a focus on establishing globally consistent best practices

• Work with IT, data, and system vendors to identify ways to further enhance automation and testing within the compliance systems

• Effectively liaise with internal and external auditors in the facilitation of control reviews and associated testing

Qualifications

• 6-9 years of experience in the investment management field, including portfolio compliance or other areas of regulatory compliance

• Charles River (CRD) / Sentinel coding experience

• Proficient in Bloomberg

• Knowledge of the European regulatory requirements

• Demonstrated high-level analytical and problem-solving skills

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  Get Hired

• Ability to make, validate and act on decisions using sound and logical judgment as well as influencing/assisting others to make these decisions using established regulatory guidance, policies, and procedures

• Fluent in various investment types, including currency, fixed income, equity, and derivatives

• Demonstrated analytical skills to effectively interpret governing compliance documents such as investment management agreements, prospectuses, and client guidelines/instructions

• Team player, proactive, adaptable, and self-motivated

• Ability to manage multiple priorities while maintaining attention to detail

• Effective communication and interpersonal skills

• Strong computer skills including knowledge of Excel and PowerPoint

About State Street Global Advisors

What We Do. As the asset management arm of State Street Corporation, State Street Global Advisors has served the world’s governments, institutions, and financial advisors for over four decades. With a rigorous, risk-aware approach built on research, analysis, and market-tested experience, we build from a breadth of active and index strategies to create cost-effective solutions. As stewards, we help portfolio companies see that what is fair for people and sustainable for the planet can deliver long-term performance. And, as pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest. As a result, we have become one of the world’s largest asset managers with more than $4.1 trillion in assets under management (as of December 31, 2023).

Our Mission. At State Street Global Advisors, we are driven by a desire to help our clients creating better outcomes for the worlds investors and the people they serve. We have a long history of developing innovative investment strategies to provide our clients with reliable and transparent returns, cost-effectively, and without excessive risk.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance, and savings plans, among other rewards. You will have access to Flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We honestly believe our employees’ diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality.

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