Investment Performance Analysis - Investment Compliance Service, Officer
State Street
Investment Performance Analysis - Investment Compliance Service, Officer
Job Description
Who we are looking for:We are looking for an exceptional individual to join our team for performance and analytics.Why this role is important to us:State Street Global Delivery provides asset owners and asset managers access to financial information and tools essential for effective investment solutions. From core custody, accounting, fund administration, shareholder recordkeeping, and performance, to complete operations solutions and servicing for alternative assets like OTC derivatives, private equity, and real estate. Our services help our clients make better investment choices and generate wealth for their customers and beneficiaries.What you will be responsible for:As a key expert in the APAC region, your responsibilities will include:Ensure high quality service delivery to clients.Function as team supervisor to ensure good team performance in various aspects of risk, control, and discipline.Provide timely and professional responses or escalations to all enquiries. Demonstrate flexibility by answering in emergencies and challenges.Establish and maintain good working relationships both internally and externally, collaborating with other teams and departments.Contribute to analysis and planning of Operating Model with the aim of standardizing processes and establishing best practice.Interpret and codify client-specific IMAs (Investment Management Agreements) and prospectus restrictions.Conduct post-trade investment compliance analysis to ensure adherence to regulatory requirements and investment mandates.Implement controls for portfolios restrictions(e.g., concentration limits, prohibited securities, ESG criteria).Validate portfolio adherence to benchmark constraints, derivative usage limits and risk thresholds.Result validation and reasonability analysis on investment breaches.Generate compliance reports for a wide range of clients from asset managers, asset owners to trustees.Lead a wide range of projects to meet requirements from product roadmap, strategy, and market developments.What we value: These skills will help you succeed in this role:Strong critical thinking, problem-solving, and decision-making skills.Excellent Communication and interpersonal skills.Project Management skills.Independent client service and problem solving.Ability to develop and motivate team talents.Promoting an active and committed attitude, being open to questions and discussionsEducation & Preferred Qualifications:Bachelor’s degree in Accounting/Mathematics/Finance/Economics or equivalent (post graduate degree and/or a CFA®, CIPM® or CAIA® would be an advantage).5+ years of experience in investment analytics1+ years of team management experience (Preferred)Proficient Investment compliance/Risk knowledge within asset management, banking, or broker-dealers.Proven experience of compliance monitor systems (e.g., Charles River, AxiomSL, Bloomberg).Good understanding of regulations and global market practices.Strong ability to decode complex legal and investment documents (IMAs, prospectuses).Knowledge of financial instruments: equities, fixed income, derivatives.Advanced Excel/SQL/Python skills for data analysis would be beneficial.Work with internal operation team to design process enhancement solutionsFamiliar with SDLC, GMAS experience will be a plusFamiliar with database and data warehouse, able to use SQL to query dataUnderstand ETL, experience with low code tools like Alteryx, Power query will be a plusStrong coding skills will be a plus, especially VBA and PythonAbout State StreetAcross the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.Discover more information on jobs at StateStreet.com/careersRead our CEO Statement
Locations
- China, Hangzhou
Skills Required
- investment analyticsintermediate
- financial instruments: equitiesintermediate
- low code tools like Alteryxintermediate
Preferred Qualifications
- Bachelor’s degree in Accounting/Mathematics/Finance/Economics or equivalent (post graduate degree and/or a CFA®, CIPM® or CAIA® would be an advantage). (degree in accounting)
- 5+ years of experience in investment analytics (experience, 5 years)
- 1+ years of team management experience (Preferred) (experience, 1 years)
- Proficient Investment compliance/Risk knowledge within asset management, banking, or broker-dealers. (experience)
- Proven experience of compliance monitor systems (e.g., Charles River, AxiomSL, Bloomberg). (experience)
- Good understanding of regulations and global market practices. (experience)
- Strong ability to decode complex legal and investment documents (IMAs, prospectuses). (experience)
- Knowledge of financial instruments: equities, fixed income, derivatives. (experience)
- Advanced Excel/SQL/Python skills for data analysis would be beneficial. (experience)
- Work with internal operation team to design process enhancement solutions (experience)
- Familiar with SDLC, GMAS experience will be a plus (experience)
- Familiar with database and data warehouse, able to use SQL to query data (experience)
- Understand ETL, experience with low code tools like Alteryx, Power query will be a plus (experience)
- Strong coding skills will be a plus, especially VBA and Python (experience)
- Bachelor’s degree in Accounting/Mathematics/Finance/Economics or equivalent (post graduate degree and/or a CFA®, CIPM® or CAIA® would be an advantage). (degree in accounting)
- 5+ years of experience in investment analytics (experience, 5 years)
- Proficient Investment compliance/Risk knowledge within asset management, banking, or broker-dealers. (experience)
- Proven experience of compliance monitor systems (e.g., Charles River, AxiomSL, Bloomberg). (experience)
- Good understanding of regulations and global market practices. (experience)
- Strong ability to decode complex legal and investment documents (IMAs, prospectuses). (experience)
- Knowledge of financial instruments: equities, fixed income, derivatives. (experience)
- Advanced Excel/SQL/Python skills for data analysis would be beneficial. (experience)
- Work with internal operation team to design process enhancement solutions (experience)
- Familiar with database and data warehouse, able to use SQL to query data (experience)
- Understand ETL, experience with low code tools like Alteryx, Power query will be a plus (experience)
- Strong coding skills will be a plus, especially VBA and Python (experience)
Responsibilities
- As a key expert in the APAC region, your responsibilities will include:
- Ensure high quality service delivery to clients.
- Function as team supervisor to ensure good team performance in various aspects of risk, control, and discipline.
- Provide timely and professional responses or escalations to all enquiries. Demonstrate flexibility by answering in emergencies and challenges.
- Establish and maintain good working relationships both internally and externally, collaborating with other teams and departments.
- Contribute to analysis and planning of Operating Model with the aim of standardizing processes and establishing best practice.
- Interpret and codify client-specific IMAs (Investment Management Agreements) and prospectus restrictions.
- Conduct post-trade investment compliance analysis to ensure adherence to regulatory requirements and investment mandates.
- Implement controls for portfolios restrictions(e.g., concentration limits, prohibited securities, ESG criteria).
- Validate portfolio adherence to benchmark constraints, derivative usage limits and risk thresholds.
- Result validation and reasonability analysis on investment breaches.
- Generate compliance reports for a wide range of clients from asset managers, asset owners to trustees.
- Lead a wide range of projects to meet requirements from product roadmap, strategy, and market developments.
- Ensure high quality service delivery to clients.
- Function as team supervisor to ensure good team performance in various aspects of risk, control, and discipline.
- Provide timely and professional responses or escalations to all enquiries. Demonstrate flexibility by answering in emergencies and challenges.
- Establish and maintain good working relationships both internally and externally, collaborating with other teams and departments.
- Contribute to analysis and planning of Operating Model with the aim of standardizing processes and establishing best practice.
- Interpret and codify client-specific IMAs (Investment Management Agreements) and prospectus restrictions.
- Conduct post-trade investment compliance analysis to ensure adherence to regulatory requirements and investment mandates.
- Implement controls for portfolios restrictions(e.g., concentration limits, prohibited securities, ESG criteria).
- Validate portfolio adherence to benchmark constraints, derivative usage limits and risk thresholds.
- Result validation and reasonability analysis on investment breaches.
- Generate compliance reports for a wide range of clients from asset managers, asset owners to trustees.
- Lead a wide range of projects to meet requirements from product roadmap, strategy, and market developments.
- Strong critical thinking, problem-solving, and decision-making skills.
- Excellent Communication and interpersonal skills.
- Project Management skills.
- Independent client service and problem solving.
- Ability to develop and motivate team talents.
- Promoting an active and committed attitude, being open to questions and discussions
- Strong critical thinking, problem-solving, and decision-making skills.
- Excellent Communication and interpersonal skills.
- Project Management skills.
- Independent client service and problem solving.
- Ability to develop and motivate team talents.
- Promoting an active and committed attitude, being open to questions and discussions
Tags & Categories
Answer 10 quick questions to check your fit for Investment Performance Analysis - Investment Compliance Service, Officer @ State Street.
10 Questions
~2 Minutes
Instant Score