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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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