Associate Investment Compliance Analyst - Charles River - Sr. Associate
Company: myGwork
Location: Burlington
Posted on: January 24, 2023
Job Description:
Who we are looking for We are currently looking for an Associate
Compliance Analyst to join the Charles River Compliance Services
Team. The focus of this role is primarily to provide hands-on
delivery of compliance services to our buy-side clients. We are
looking for someone with an Investment Compliance background that
is willing to learn most of what is in the below . Why this role is
important to us The team you will be joining is a part of Charles
River Development (or CRD), that became a part of State Street in
2018. CRD helps create enterprise investment management software
solutions for large institutions in the areas of institutional
investment, wealth management and hedge funds. Together we have
created first open front-to-back platform - State Street Alpha,
that was launched in 2019. Join us if delivering next generation
infrastructure, using emerging technologies like AI and Blockchain
sounds like a challenge you are up for. What you will be
responsible for As an Associate Compliance Analyst you will be
responsible for:
- Initial service setup/implementation, including business
requirements such as regulatory/legal requirements, business
processes/workflows, exception management, reporting, and rules of
engagement
- Compliance software rule writing/testing, report writing,
exception management
- Compliance software configuration changes
- Compliance software upgrade/regression testing.
- Problem troubleshooting, support, and resolution.
- Advising clients on "best practices" and optimal use of
Compliance software.
- Keep abreast of regional and global industry trends and
regulatory issues.
- Work closely with colleagues in Charles River regions globally
to design and deliver regionally-relevant services.
- Effectively manage the internal systems, applications and
controls (e.g. Salesforce) to ensure adherence to the Global
Compliance Services Workflow Procedures.
- Actively participate in internal projects to optimize and scale
the service.
- Provide exemplary customer service. What we value
- Familiarity with financial services, legal, securities trading
and/or investment management compliance
- Ability to perform as a team member in a fast-paced,
high-growth, mission critical service delivery environment with
multiple projects and tasks with changing deadlines.
- Strong proficiency using windows based applications, including
MS Office applications such as Word, Excel, PowerPoint, Access, and
MS Project.
- Strong analytical skills and strict attention to detail.
- Excellent interpersonal, verbal, and written communication
skills.
- Excellent organizational skills. Education & Preferred
Qualifications
- Bachelor's degree in Business, Finance or a Technical
Discipline
- 1+ Year of some exposure and experience working within
Compliance, ideally within the Investment Management/Trading space
- Some knowledge of Investment Compliance Regulations preferred
(Investment act of 1940, Internal Revenue Code, UCITS III-V, MiFid,
AIFMD, etc...)
- Familiarity using a Rules based Compliance Engine preferred
About State Street What we do. State Street is one of the largest
custodian banks, asset managers and asset intelligence companies in
the world. From technology to product innovation, we're making our
mark on the financial services industry. For more than two
centuries, we've been helping our clients safeguard and steward the
investments of millions of people. We provide investment servicing,
data & analytics, investment research & trading and investment
management to institutional clients. 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 perks. You'll 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 truly 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. Another fundamental value at State
Street is active engagement with our communities around the world,
both as a partner and a leader. You will have tools to help balance
your professional and personal life, paid volunteer days, matching
gift programs and access to employee networks that help you stay
connected to what matters to you. State Street is an equal
opportunity and affirmative action employer. Company: Charles River
Development Salary Range: $52,000 - $81,640 Annual The range quoted
above applies to the role in the primary location specified. If the
candidate would ultimately work outside of the primary location
above, the applicable range could differ. This employer is a
corporate member of
myGwork - LGBTQ+ professionals, the business community for LGBTQ+
professionals,
students, inclusive employers & anyone who believes in workplace
equality.
Keywords: myGwork, Burlington , Associate Investment Compliance Analyst - Charles River - Sr. Associate, Professions , Burlington, North Carolina
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