Investment Guideline Interpretation

• Review and interpret governing documents including prospectuses, supplements, investment management agreements (IMAs), and other client mandates.
• Experience with compliance monitoring platforms such as Sentinel, Charles River, Aladdin, Bloomberg AIM, or similar systems.
• Analyze investment restrictions and regulatory requirements to ensure accurate implementation within compliance monitoring systems.
• Resolve complex interpretive issues and provide guidance on investment guideline application.

Rule Implementation

• Oversee the new account setup process, ensuring client mandates and investment restrictions are accurately captured and implemented.
• Review account extraction and modification forms, validating system coding completed by analysts for accuracy and completeness.
• Manage rule maintenance activities, ensuring guideline updates and amendments are implemented according to established procedures.
• Monitor and amend workflows to ensure timely reviews, approvals, and signoffs from relevant stakeholders.

Investment Compliance Monitoring

• Develop and implement automated compliance rules within investment monitoring systems.
• Establish and maintain manual monitoring procedures for guidelines that cannot be automated.
• Review post-trade monitoring alerts and incidents to identify potential compliance breaches.
• Investigate compliance exceptions and determine appropriate breach classifications and escalation requirements.

Risk Analysis & Process Improvement

• Analyze compliance breach trends to identify recurring issues, root causes, and systemic risks.
• Recommend and implement corrective actions, process enhancements, and operational efficiencies.
• Support the design and execution of control improvements to strengthen the compliance monitoring framework.

Policies, Procedures & Best Practices

• Develop, document, and enhance investment compliance policies, procedures, and operating guidelines.
• Promote globally consistent compliance standards and best practices across teams and regions.
• Ensure adherence to internal governance requirements and regulatory expectations.

Technology & Automation

• Partner with IT, data teams, and third-party vendors to enhance compliance monitoring systems and workflows.
• Identify opportunities to increase automation, improve data quality, and enhance testing methodologies.
• Support system upgrades and implement new compliance solutions.

Required Skills & Qualifications

• Strong understanding of investment compliance, portfolio guidelines, and regulatory requirements.
• Experience interpreting Investment Management Agreements (IMAs), prospectuses, and regulatory documents.
• Knowledge of pre-trade or post-trade compliance monitoring processes.
• Experience with compliance monitoring platforms such as Sentinel, Charles River, Aladdin, Bloomberg AIM, or similar systems.
• Strong analytical and problem-solving skills with the ability to identify trends and root causes.
• Excellent stakeholder management and communication skills.
• Ability to drive process improvements and automation initiatives.
• Proficiency in data analysis and Microsoft Office applications, particularly Excel.

Preferred Experience

• Experience supporting institutional asset management, mutual funds, UCITS, ERISA, 40 Act, pension funds, or separately managed accounts.
• Exposure to compliance rule coding, testing, and monitoring system configuration.
• Experience working in a global operating environment with cross-functional teams.

Key Competencies: Investment Compliance • Regulatory Interpretation • Compliance Monitoring • Rule Coding & Testing • Process Improvement • Automation & Controls • Stakeholder Management • Operational Excellence.

About State Street

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