Head of EMEA Investment Oversight

Recruiter
State Street
Location
London, United Kingdom
Salary
Competitive
Posted
28 Sep 2019
Closes
28 Oct 2019
Ref
6589382
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
The role sits in the investment management organization within the first line of defence. The Investment Oversight team partners with the investment teams to ensure compliance with client and regulatory expectations and strengthen our overall control environment. This individual will be responsible for leading all aspects of EMEA's overall investment oversight efforts and the ongoing quality of account monitoring.
  • Day to day management of the regional investment oversight team of 5 professionals
  • The team is responsible for pre and post trade portfolio compliance monitoring using the Bloomberg, Sentinel and Charles River compliance modules
  • Coordinate trade compliance efforts for the EMEA region
  • Use professional judgment in raising compliance issues to management
  • Ensure investment oversight onboarding activities are performed timely, efficiently and accurately
  • Analyse breaches to highlight trends and areas of monitoring weakness
  • Identify and highlight system improvements to increase the amount of automated monitoring of the fund's governing documents
  • Participate in committees and working groups
  • Attend client meetings to speak about the investment oversight function
  • Liaise with auditors for the annual SOC 1 audit and other internal/external audits
  • Liaise with the global investment oversight teams to discuss challenges and implement global consistency, where possible
  • Periodically meet with members of the business to clarify expectations, discuss areas of focus and receive feedback
  • Work with the EMEA compliance teams to address emerging regulations and areas of regulatory focus
  • Develop effective working relationships and communications with staff and ensure that staff are motivated, developed and supported
  • Ensure that appropriate management information is produced and reviewed at requisite intervals
  • Interact with senior management
  • Develop and monitor appropriate timelines for responses to queries, completion of daily tasks and various projects
  • Support a culture of effective challenge to ensure appropriate governance

Qualifications
  • Extensive experience in investment management oversight or portfolio compliance role within a large asset management organization
  • Strong knowledge of all asset types and investment strategies
  • Knowledge of various regional regulatory regimes
  • Experience with Charles River Development compliance system is a plus
  • Attentive to detail with an ability to look critically at a problem and propose solutions
  • Can do attitude
  • Advanced degree in Business or Finance and/or CFA designation preferred
  • Ability to influence colleagues to support business goals
  • Positive attitude, strong work ethic, ability to execute independently yet also maintain strong team orientation

Promoting a Culture of Excellence We believe that our people are our greatest asset: highly skilled, engaged and productive teams are essential to our success. We also want to help you to build a fulfilling career, aiming to be the employer of choice by offering great compensation, development opportunities, and a work environment that promotes a diverse background of people, ideas and skills. State Street is committed to embracing diversity and inclusion in the workplace.
We're a company that insists on, and rewards, performance excellence. We know our success hinges on attracting the best people to join us.

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