Investment Oversight Analyst, Global Advisors, Assistant Vice President

3 weeks ago

London, Greater London, United Kingdom State Street Full time

Who we are looking for

Investment Oversight Analyst will provide investment oversight support for the investment management and other functions of SSGA and SSGA Funds Management, Inc. The Investment Oversight team is responsible for supporting investment compliance, including the monitoring of regulatory requirements and client-specific guidelines, trade oversight, and client reporting, as well as other specialized areas of compliance.

Why this role is important to us

The team you will be joining is a part of State Street Global Advisors, one of the biggest asset managers in the world, that provides services to the world's governments, institutions and financial advisors across the globe. With over four decades of experience and trillions of dollars in assets under management, we offer one of the broadest selections of services across asset classes, risk profiles, regions and styles. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest.

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

What you will be responsible for



• Review account extraction/modification forms and system-coding performed by a team of analysts to ensure accuracy

• Manage new account set-up and rule maintenance process to ensure new accounts and updates to guidelines are accurately completed and reviewed according to procedure

• Monitor new account/amendment onboarding process to ensure that appropriate reviews and sign-offs are timely obtained

• Develop, test, and implement automated rules with the monitoring systems and manual monitoring procedures for non-automated rules to ensure accuracy of all account guidelines, instructions, and mandates

• Review pre- and post-trade incidents to identify compliance breaches

• Analyze compliance breach trends, identify root causes, and resolve potential systemic issues, including recommending process design improvements and operational efficiencies

• Develop or enhance policies and procedures related to investment compliance processes, with a focus on establishing globally consistent best practices

• Work with IT, data, and system vendors to identify ways to further enhance automation and testing within the compliance systems

• Effectively liaise with internal and external auditors in the facilitation of control reviews and associated testing

What we value

These skills will help you succeed in this role

  • Ability to make, validate and act on decisions using sound and logical judgment as well as influencing/assisting others to make these decisions using established regulatory guidance, policies, and procedures
  • Fluent in various investment types, including currency, fixed income, equity, and derivatives
  • Demonstrated analytical skills to effectively interpret governing compliance documents such as investment management agreements, prospectuses, and client guidelines/instructions
  • Team player, proactive, adaptable, and self-motivated
  • Ability to manage multiple priorities while maintaining attention to detail
  • Effective communication and interpersonal skills

Education & Preferred Qualifications

  • Bachelor's degree in Finance, Accounting or Economics is preferred
  • 6-9 years of experience in the investment management field, including portfolio compliance or other areas of regulatory compliance
  • Charles River (CRD) coding experience is preferred
  • Proficient Sentinel coding experience
  • Knowledge of EMEA based regulations UCITs, AIF, COLL, KVG type funds, and other regulatory requirements
  • Demonstrated high-level analytical and problem-solving skills
  • Coding skills in another compliance system will be considered

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 in locations, but you may expect generous medical care, insurance and savings plans among other perks. You'll have access to flexible Work Program 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 perspective 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 the 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 program 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.

Discover more at

  • Vice President, Energy Policy

    3 weeks ago

    London, Greater London, United Kingdom Hanson Search Full time

    We are searching for an Energy Policy & Investment Analyst Vice President to join a global advisory consultancy in the U.S. that advises blue chip companies and the most influential investors.

  • Vice President

    1 month ago

    London, Greater London, United Kingdom Pharma Search Full time

    Senior Director / Vice President Business Development, EMEA Our client is a global leader, providing clinical services of the highest quality to Pharma, Biotech, Life Science and CRO businesses; This has been driven by the successful delivery of clinical trials of the highest standards, through their people, unique business model and service offering,...

  • Vice President, Global Credit Operations

    3 days ago

    London, Greater London, United Kingdom Carlyle Group Inc. Full time

    Basic information Job Name: Vice President, Global Credit OperationsLocation:London Line of Business: Finance Job Function: Investor Services Date: Tuesday, May 14, 2024 Position Summary Carlyle Global Credit's Operations team focuses on all Operational activities across the Global Credit Platform, including investment capture, investment funding, treasury...

  • Corporate Tax Vice President

    2 weeks ago

    London, Greater London, United Kingdom Aston Carter Full time

    Description:A leading Multi-national investment company has an immediate requirements for a Corporate Tax Vice President to join their team.The EMEA Corporate Tax team ensures all annual tax compliance and reporting obligations across the region are met. The team work closely with other regional Finance and Tax teams, as well as Treasury, Legal and...

  • Japanese speaking Vice President

    1 week ago

    London, Greater London, United Kingdom Centre People Appointments Full time

    A major global bank based in London is currently recruiting a Japanese-speaking Vice President to work in their planning team for their European Corporate Banking Department. In this role you will be responsible for the business planning and promotion, business management, change management, and other planning related activities. TYPE: Permanent,...

  • Vice President or Senior Vice President

    1 month ago

    London, Greater London, United Kingdom Mantell Associates Full time

    Mantell Associates is currently representing a leading Life Science Consultancy in an incredibly exciting period of growth for the business, looking for a Vice President in the Life Sciences practice to support their capabilities and continue their growth. Be an integral member of the senior leadership team, helping grow the business Submit your CV and any...

  • Vice President, Investment Banking, Mining

    3 weeks ago

    London, Greater London, United Kingdom Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?Support the marketing and execution of M&A, debt, equity and other financial advisory services as a Vice President, within the Mining team. You will be responsible for providing day-to-day leadership, organisation and mentoring to Associates and Analysts in the team.What will you do?Work as directed by the...

  • Transaction & Pricing Oversight Vice President

    2 months ago

    London, Greater London, United Kingdom NatWest Markets Full time

    Join us as a Transaction & Pricing Oversight Vice PresidentThe role offers the opportunity to combine solving complex analytical problems to ensure client outcomes are fair and in line with good conduct, right from sharing of client order information to managing associated riskWe'll look to you to proactively drive the assessment and implementation of risk...

  • Vice President, Sales

    2 months ago

    London, Greater London, United Kingdom Hanson Search Full time

    An internationally acclaimed leader in the design, manufacture and installation of special custom-built doors are looking to hire a Vice President of Sales to take the lead in driving their USA strategy.

  • Vice President

    4 weeks ago

    London, Greater London, United Kingdom Brock & Decker Full time

    Our Client, leading placement agent in the alternative investment space, with a focus on facilating capital raising for mid-market private equity and private debt funds, are currently seeking an experienced Vice President with a strong background in M&A to join their esteemed placement agent firm headquartered in London. Specializing in mid-market private...

  • Vice President, Financial Restructuring

    1 week ago

    London, Greater London, United Kingdom Selby Jennings Full time

    Vice President - Financial Restructuring, LondonWe are currently seeking a highly skilled and experienced individual to fill the role of Vice President - Financial Restructuring for our clients London office.Job Description:As a VP in the Financial Restructuring team you will be responsible for leading complex restructuring transactions across various...

  • Vice President, Advancement

    2 weeks ago

    London, Greater London, United Kingdom IMPERIAL COLLEGE LONDON Full time

    Imperial College London is one of the world's great universities, renowned for ground-breaking research, a highly talented community of staff, students and alumni, and international reach. Our mission is to achieve enduring excellence in research and education in science, engineering, medicine, and business, for the benefit of society. We were founded in...

  • Originator, Senior Vice President

    1 week ago

    London, Greater London, United Kingdom Macquarie Full time

    This is an exciting opportunity for an experienced Senior Vice President to join our Specialised & Asset Finance desk within the Commodities and Global Markets Division, where you will be instrumental in the origination of mid to large ticket, structured, asset finance transactions across Europe and the UK. At Macquarie, we are working to create lasting...

  • Investment Banking

    3 weeks ago

    London, Greater London, United Kingdom Selby Jennings Full time

    Are you an ambitious and talented individual seeking an exciting opportunity in the Investment Banking world? Look no further Our client, a prestigious Global European Investment Bank, is on the lookout for a driven and dedicated Investment Banking Vice President to join the Power & Utilities team based in LondonCompany Overview:Our client stands at the...

  • Regional Vice President of Sales

    3 weeks ago

    London, Greater London, United Kingdom Keboola Full time

    Regional Vice President of Sales - Benelux Keboola is a leading provider of data integration and analytics solutions, empowering businesses to unlock the full potential of their data. Our innovative platform enables organisations to streamline their data operations, drive actionable insights, and accelerate growth. With a focus on customer success and...

  • Vice President

    1 week ago

    London, Greater London, United Kingdom myGwork Full time

    This inclusive employer is a member of myGwork - the largest global platform for the LGBTQ+ business community. Opening date 10-May-2024 Closing date 07-Jun-2024 Job description Who is HSBC Innovation Banking? HSBC Innovation Banking is the power behind the UK's forward-thinkers, future-makers, and leap-takers, helping them ignite the bold ideas that...

  • Analyst (FIG), Advisory M&A - Investment Banking

    2 days ago

    London, Greater London, United Kingdom Canaccord Genuity Group Inc. Full time

    Working within the Financial Services team, you will have the opportunity to provide financial advisory services on a wide range of strategic transactions (including acquisitions, divestitures, mergers and re-structuring), capital-raising projects and debt financing mandates to financial institutions. Working directly for an Associate/Vice President on a...

  • Global Custody Product Development Data Analyst, Assistant Vice President

    2 weeks ago

    London, Greater London, United Kingdom State Street Full time

    Job DescriptionExciting Opportunity: Global Custody Product Development Data Analyst - AVPWe are looking for a data analyst to join our Product organization and support the Data Management lead globally.In this role, you will collaborate with the Product team, Global Delivery, and Technology to implement our custody data strategy, focusing on cloud native...

  • Investment Business Advisor

    1 week ago

    London, Greater London, United Kingdom BP Energy Full time

    Job Family Group: Business Support Group About the team: The Chief Investment Office Team sits within the Trustee Executive team. The team supports the Trustees of the Group's defined benefit Scheme which is amongst the largest in the UK both by assets under management and membership. The primary function of the team is to develop the investment strategy and...

  • Global Investment Research

    4 weeks ago

    London, Greater London, United Kingdom Goldman Sachs Full time

    Global Investment Research - Macro Research, Global Portfolio Strategy & Asset Allocation Analyst - London - Analyst Global Investment Research, Macro Research, Global Portfolio Strategy and Asset Allocation Analyst - London GLOBAL INVESTMENT RESEARCH Global Investment Research (GIR) provides investment recommendations by generating fundamental research and...