Investment Compliance Specialist, Senior Associate

4 months ago

Hangzhou, China State Street Full time

  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

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

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

Level of Education/Experience

Accountancy/Business/Science related degree (preferred) 3+ years of experience in investment compliance 2+ years of proven experience with MQL or SQL coding

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 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 Understanding of SQL query language would be an asset Knowledge of VBA would be an advantage Understanding or experience of Alteryx would be beneficial

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