Luxembourg Job Openings
State Street
Fund Investment Compliance, Senior Associate
Luxembourg
FULL TIME
August 19, 2024
- Keeps up with up-to-date information regarding UCITS regulatory changes.
- Interacts with the team and helps channeling any amendments in the compliance set up.
- Maintains related procedures.
- Follows up timely on requesting new Prospectus or investment guidelines to clients.
- Logs the related update task in the tracking application..
- Conducts review of Prospectus for updated set up of compliance testing.
- Reflects updated testing in the dedicated files.
- Ensures that the compliance matrix are completed and reviewed properly.
- Ensures that checks in the automated system are set up as outlined in the compliance matrix. Follows up that new or amended tests are identified and timely developed.
- Delivers the compliance matrix to clients and stand ready to assist client queries in relation to the applied testing.
- Reviews MIG21 for assigned funds and analyses all exceptions identified by the system in order to assess their active, passive or non-breach nature.
- Prepares client e-mails and obtains a sign off from the FCM for any notification sent to client. Following review, sends the e-mails to the clients.
- Promptly raises concerns to the FCM if he/she identifies or suspects an error in any of the reports or lists that he/she is using e.g. a system rule is incorrect.
- COMMUNICATION - Communicates effectively and efficiently with clients, colleagues, managers and other Departments.
- ORGANISATION - Shows good organizational skills in order to meet deadlines and to keep well-documented records.
- ABILITY TO RESOLVE COMPLEX PROBLEMS - Demonstrates the ability to analyze a problem and obtain and evaluate information to reach sound conclusions. Knows when to elevate a problem and keep management informed.
- RESPONSIVENESS - Provides timely and professional responses to all client related and internal enquiries.
- FLEXIBILITY - Shows a flexible approach to prioritize and execute tasks within an efficient time management.
- TEAM PLAYER - Functions at all times as a team player to build an atmosphere of co-operation within the group.
- Degree in Finance, Business, Legal or equivalent.
- Minimum 4 years’ experience working in fund compliance
- Use and rule coding based on the automated Fund Compliance tool MIG21©
- Experience working in Charles River
- Be a champion in UCITS IV, Luxembourg Fund Industry and regulations, directives etc. pertaining to investment compliance monitoring.
- Language: English (German and French would be a definite advantage)
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