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

STATE STREET CORPORATION; London; On-site; GBP 60,000 - 110,000; Full time

Job summary

An established industry player is seeking a Vice President for EMEA Investment Oversight. This pivotal role involves overseeing a dedicated team and ensuring optimal performance while managing compliance with investment regulations. Candidates will leverage their extensive experience in investment management and regulatory compliance to enhance operational efficiencies and implement best practices. The company fosters a collaborative environment that values diversity and offers comprehensive benefits, including flexible work programs and professional development opportunities. Join a team committed to delivering sustainable investment solutions and making a positive impact on the financial landscape.

Benefits

Generous Medical Care

Insurance Plans

Savings Plans

Flexible Work Programs

Development Programs

Educational Support

Qualifications

• 6-9 years of experience in investment management and compliance.
• Strong analytical skills to interpret compliance documents.
• Ability to manage multiple priorities with attention to detail.

Responsibilities

• Oversee team operations and ensure effective performance.
• Review compliance documents and resolve interpretive issues.
• Develop automated rules for compliance monitoring systems.

Skills

Investment Management Experience

Regulatory Compliance

Analytical Skills

Problem-Solving

Communication Skills

Teamwork

Education

Bachelor's Degree in Finance or related field

Tools

Charles River (CRD)

Bloomberg

Excel

PowerPoint

Job description

Job Description

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

• 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 world's 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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