EMEA Onboarding Regulatory, Officer

4 weeks ago

London, Greater London, United Kingdom State Street Full time

Who we are looking for

SSGM Client Services Support – Client Onboarding & Maintenance ("CSS-COB") is a team of client facing product specialists focused on internal and external client satisfaction through proactive support and ownership of Client Onboarding & Maintenance.

The CSS-COB team leads and manages the onboarding process and acts as a single point of contact and liaison throughout the entire onboarding cycle – from initial client lead to deal structuring, negotiation, legal documentation, stakeholder approval, regulatory adherence, account opening, and ongoing client servicing and interaction.

The Regulatory On Boarding team sits within CSS-COB, and is responsible for ensuring regulations adherence of trading accounts

Why this role is important to us

The team you will be joining is a part of State Street Global Markets (SSGM). When owners and managers of institutional assets need research, trading, securities lending and innovative portfolio strategies, they turn to SSGM business unit. As our investment research and trading arm, SSGM's number one goal is to enhance and preserve our clients' portfolio values by applying technology, optimizing trading, and linking asset classes and markets across the world.

Join us if making your mark in the capital markets industry from day one is a challenge you are up for.

What you will be responsible for

As EMEA Onboarding Regulatory, Officer you will

Participate in the overall client onboarding workflow in a Regulatory capacity ensuring compliance to the different regulations (Dodd Frank and EMIR)

Coordinate the activities associated with a client onboarding or modification events

Act as main point of contact (Internal / External) for regulatory matters

Track and monitor potential onboarding issues and regulatory exceptions escalating as necessary

Act in a project management capacity to:

Interact with clients, sales people and account managers to develop a full understanding of client profile and requirements - with focus on client regulatory requirements

Maintain strong working relationships and liaise with internal and external counterparts including Clients, Sales, Trading, Legal, Compliance, Middle Office (Trade Support), Operations, Technology and Business Architecture

Interact with key clients as needed to enhance working relationships and gain better understanding of client needs

Develop a clear understanding of how client profiles and requirements intersect with internal systems

Identify possible system enhancements to improve our daily process

Identify potential risks and suggest adequate controls

Ensure accuracy of client static data and account set up on transaction systems

Drive all onboarding related workflow activities including the exchange of information and the gathering of approvals

What we value

These skills will help you succeed in this role

Strong EMIR and or Dodd Frank knowledge

Understanding of Margin rules requirements (Variation and Initial)

A good understanding of the FX client Onboarding workflow

Strong analytical, organizational and customer service skills.

Strong project/process management, and organizational skills

Strong customer service skills

High comfort level with large volumes of data

Strong attention to detail

Familiarity with financial markets.

Ability to multi-task.

Excellent communication, interpersonal and relationship skills, that include the ability to build productive working relationships across teams and functions; and the ability to foster an environment of open communication; Ability to work collaboratively with other business units.

Experience with advanced Excel functions and relational databases preferred

Understanding of Business Intelligence and knowledge of technology testing cycles related to code release (e.g., unit testing, user acceptance testing, regression testing) preferred

Education & Preferred Qualifications

Bachelor's degree (or equivalent) in business, finance or related field

1-5 years prior finance industry experience (will influence entry level)

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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