Investment Compliance Specialist, Senior Associate

Posted on Mar 15, 2019 by State Street UK

Not Specified Poland
Legal
13 Mar 2019
Annual Salary
Full-Time
Purpose Of Role:
  • Under supervision of Supervisor or Manager, the Compliance Specialist 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.

Specific Duties:
TECHNICAL COMPETENCIES

PRINCIPAL TASKS
  • 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 escalate if needed.
  • Contribute to analysis and planning of operating model with the aim of standardizing processes and establishing best practice.
  • Onboard new task/process, work constantly on process chain extension.

REVIEWING WORK AND ASSISTING TEAM SUPERVISOR
  • 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.

NON - TECHNICAL COMPETENCIES

COMMUNICATION & RELATIONSHIPS
  • 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.

ORGANISATION
  • Demonstrate good time organizational skills in order to meet deadlines related to projects and daily work.
  • Adhere to clean desk policy and thorough record keeping

Specific Qualifications / Skills:
  • Numeracy / Literacy skills
  • Excellent computer skills including knowledge of Excel spreadsheets and database applications.
  • A thorough understanding of departmental compliance platform is required.
  • Accuracy and ability to work with deadlines.
  • Strong understanding of SQL query language.
  • Knowledge of VBA would be an advantage.
  • Proficiency with MIG21 environment.
  • Excellent English.

Critical Behaviors for Success as defined by the Performance Review System at Core level:
  • 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.
  • Support and reward innovation
  • Understand Corporate Goals and Strategies

Level Of Education:
Accountancy/Business/Science related degree (preferred)
Previous Level Of Experience:
3+ years of experience in fund compliance is required

Reference: 671251802

Similar Jobs

Senior Investment Operations Specialist, Associate 2

Not Specified Poland

State Street UK

Investment Compliance Analyst with German, Associate 1

Not Specified Poland

State Street UK

Fund Accounting Optimization Specialist, Senior Associate

Not Specified Poland

State Street UK