01Overview
Who we are looking for:
Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange Commission) requirements and (ii) investment guidelines stated in the Prospectus/Statement of Additional Information (SAI).
Why this role is important to us:
The team you will be joining is a part of State Street Global Advisors (SSGA), one of the biggest asset managers in the world, that provides services to the worlds governments, institutions and financial advisors. Our array of offerings includes exchange traded funds (ETFs) and investment solutions and support for Defined Contribution plan sponsors and participants. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest.
Join us if making your mark in the asset management industry from day one is a challenge you are up for.
What you will be responsible for:
Onboarding of current clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix. Liaise with clients to obtain additional information that may be necessary from time to time to code compliance matrix into the compliance system. Perform annual review of compliance rules in the matrix by comparing them against updated prospectuses/SAIs. Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines Liaise with coding team for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients. Demonstrate in-depth knowledge of Investment compliance to translate client requirements into actionable items for internal teams and work with internal teams. (For example, changes related to how .
