Investment Compliance Analyst,Associate 1

Posted on Mar 15, 2019 by State Street UK

Not Specified Poland
13 Mar 2019
Annual Salary
Job Title:
Data Management and Market Conformity Analyst with German
Associate 1
German Investment Compliance
Reporting To:
Team Supervisor (Senior Associate)
Roles Reporting To This Position:

Purpose Of Role:
The role consists of the two activities.
As the Data Analyst the Candidate will be responsible for working comprehensively with both IT and the Frankfurt Investment Compliance/Market Conformity Business Units to procure data necessary for daily compliance and price conformity checks. Furthermore, the Data Analyst will be responsible for the update and maintenance of market data, static data and holdings data that is not otherwise fed to the core application, MIG 21, via automated data feeds. Responsibilities will also extend to regular and ad-hoc data quality checks within both the data staging areas as well as the core application. Ultimate responsibilities cover the processing of such data to achieve compliance and check results via the core application and viable price conformity checks as the main deliverables to the Business Unit.
As the Market Conformity Analyst the Candidate will be responsible for verifying whether the target investment funds are procuring trades within the market range as per § 168 KAGB (German Securities Law). The Analyst will be in charge of verifying the fund's portfolio activity with the various market data sources and valuation models provided by the vendors.
Specific Duties:



  • Data Processing
  • Data Quality Checks
  • Data Uploads and Data Staging
  • External Data Requests: Manual and Automated
  • Daily and Intra-Day Data Maintenance
  • Data Transfers and Monitoring

  • Calculation/Tester Result Delivery
  • Knowledge of the financial instruments (including, but not limited by):
    • Stocks
    • Bonds
    • Funds (ETF)
    • ETD derivatives
    • OTC derivatives

  • Involvement in departmental ad-hoc projects.
  • Involvement in the training and development of other team members as necessary.
  • Make recommendations for changes to processes and procedures and prepare documentation for review as required.


  • Resolve review points highlighted by their manager and ensure they are kept informed of progress.
  • Establish and maintain good working relationships with internal clients and colleagues.

  • Undertake appropriate housekeeping duties e.g. filing, archiving, operation of clean desk policy.

  • Work with their manager to identify objectives at the start of each year and keep them up to date.
  • Actively participate in the appraisal process by completing a self-evaluation and suggesting appropriate development.
  • Take responsibility for personal development and training.

Work Parameters Or Boundaries:
Internal State Street Poland procedures & regulations
Performance Planning and Review System (PPR)


Specific Qualifications / Skills:

  • Numeracy / Literacy skills.
  • Accuracy and ability to work to tight deadlines.
  • PC literate and competent in use of spreadsheets and word processing.
  • Excellent English; German would be an advantage.
  • Basic international banking regulatory knowledge
  • Team Oriented
  • Works independently, efficiently and precisely
  • VBA knowledge would be an advantage
  • Bloomberg Terminal or Eikon Reuters Terminal knowledge would be an asset
Critical Behaviors for Success as defined by the PPR System at Core level:
  • Takes Ownership and Initiative
  • Ensures accuracy and quality
  • Provides outstanding service
  • Communicates Effectively
  • Displays Insight & Influence
  • Fosters Collaboration and Teamwork

Level Of Education:

Accountancy or Business related degree (preferred)

Previous Level Of Experience:

Previous experience in investment compliance and/or data base experience preferred but not essential.

Work Environment
1. As relates to Employee's job related task and duties Employee is responsible towards his direct Superior.
2. All issues with which Employee turns to the one level up Manager should have been discussed with his direct Superior.
3. Employee has the right to appeal from every decision of his direct Superior to the one level up Manager.

Employee's responsibility rules
1. Employee is made accountable for all his job duties and State Street's property entrusted to him.
2. Employee's responsibility concerns at equal degree entrusted duties, decisions taken and the initiative required at the given position.
3. Employee is responsible at equal degree for decisions taken and not taken when the situation requires that.
4. Employee commits not to disclose any information that might be considered as confidential for the Employer.
5. Employee is obliged to comply with all regulations and procedures concerning Health and Safety, environmental protection and company's directions in this domain.
6. Employee does his best to make the work environment and culture safe for him and his colleagues.

Reference: 671251804

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