Purpose Of Role:
- Under supervision of Supervisor or Manager, the Investment Compliance Specialist will engage in various projects, special analysis and initiatives relating to technical aspects of the business
- Provide technical support to Supervisor and Compliance teams to ensure all deliverables are produced and dispatched on time in accordance with client service level agreements and agreed quality standards
TECHNICAL COMPETENCIES
PRINCIPAL TASKS
- Take a leading role in the review of processes procedures and controls across client groups
- Suggest and create developments- evaluate their continuing effectiveness and accuracy
- Initiate remedial action as necessary
- Ensure documentation exists for any client-specific procedures
- Participate as technical SME in the development, testing and implementation of new systems and products relating to the ongoing business transformation process. Provide regular progress reports and give feedback during project meetings
- Act as central point of contact for technical issues encountered in the daily business
- Track issue trends and escalate as needed
- Contribute to "open surgery" sessions for technical issue resolution
- Contribute to analysis and planning of Operating Model with the aim of standardizing processes and establishing best practice
- Work closely with Training Department and business lines to identify training needs within the team. Ensure that those needs are met by delivering training sessions to staff on agreed topics
- Perform FTE and capacity analysis within compliance teams
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REVIEWING WORK AND ASSISTING TEAM SUPERVISOR
- Review the work of others
- Liaise with other internal clients and supporting departments for the purpose of obtaining key inputs to service delivery, resolving errors and discrepancies
- Assist Team Supervisor in the organization of the Team and in ensuring that departmental procedures and controls are adhered to
- Identify issues and problems in service delivery and carry out necessary corrective action. Keep team Supervisor informed of issues. Ensure the issues log is updated and track progress
- Take leading role in setting client-specific solutions within the compliance system
- Support Team Supervisor to ensure that accurate KPI are created and disseminated to the donor site
- Provide technical support to compliance teams in relation to the compliance platform
NON - TECHNICAL COMPETENCIES
COMMUNICATION & RELATIONSHIPS
- Provide timely and professional responses to all enquiries
- Keep Team Supervisor informed as to the daily work progress and status of requests
- Keep Manager updated with regard to project progress
- Establish and maintain good working relationships with internal clients and colleagues. Demonstrate collaboration with other teams and departments
- Demonstrate flexibility by supporting different client groups as well as contributing to a range of projects
- Maintain standards of personal and professional performance/behavior
- Demonstrate good time organizational skills in order to meet deadlines relating to projects and daily work
Work Parameters Or Boundaries:
- Internal State Street Poland procedures & regulations
- Various Regulations - required for understanding of funds' investment compliance requirements
Specific Qualifications / Skills:
- Strong numeracy and literacy skills
- Excellent computer skills including knowledge of Excel spreadsheets and database applications
- A thorough understanding of departmental compliance platform is required
- Accuracy and ability to work with deadlines
- Strong understanding of SQL query language
- Knowledge of VBA would be an advantage
- Proficiency with investment compliance monitoring system
- Excellent English
- Proactivity and creativity in issues solving
- Promoting an active and committed attitude, be open to questions and discussions
- Motivating colleagues to make independent decisions
- Ability to effectively manage time
Critical Behaviors for Success as defined by the My WorkDay's Talents and Performance System:
- Take Ownership and Initiative
- Ensure accuracy and quality
- Provide outstanding service
- Communicate Effectively
- Display Insight & Influence
- Foster Collaboration and Teamwork
- Ability to be flexible
- Mastering in difficult and stressful situations
- Understanding corporate procedures, goals and strategies
- Supporting and rewarding an innovative approach
Level Of Education:
Accountancy/Business/Science related degree (preferred)
Previous Level Of Experience:
- 3+ years of experience in investment compliance or SQL/IT related function
- Previous experience with any coding language
- Previous experience with coding in CRIMS would be an asset
Are you the right candidate? Yes!
We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don't necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.
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.
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