Investment Oversight -Team Lead

Job Description

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.

Across 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/careers

Read our CEO Statement