Compliance Monitoring Manager

• Company

  State Street

• Location

  UK-London

• Remuneration

  Competitive

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  23-Feb-2010

• eFC Ref no

  613698

Purpose of the Role:

As part of the EMEA Compliance team, to manage the corporate compliance Monitoring and Testing plans for the designated offices in EMEA region with a particular focus on the UK. In addition, provide management and guidance to the Portfolio Compliance Team that monitors the investment restrictions for the fixed income, cash and equities portfolios.

Major Responsibilities:

- To manage the execution of the compliance Monitoring and Testing plans for the EMEA region utilizing appropriate team resources as required;
- To liaise and discuss findings with relevant management teams and agree appropriate actions to mitigate these findings
- Provide guidance, assistance and training to other EMEA offices where required;
- Participate in SSgA and regional working groups relating to Monitoring and Testing and other projects as directed by the Head of UK Compliance;
- Manage the Portfolio Compliance Team and ensure appropriate training and development plans are implemented;
- Assist and provide guidance on portfolio compliance issues as required;
- Provide guidance on the interpretation of investment restrictions in legal documentation and regulations to both the Portfolio Compliance Team and the business;
- To assist the UK Head of Compliance and the EMEA Head of Compliance as required.

Our Requirements:

- Educated to degree level or equivalent.
- Proven experience in a compliance or other relevant function in a financial services firm.
- Ideally holds professional qualification e.g. Accountant, Solicitor or Industry Qualification
- Deep understanding of the application of FSA rules with respect to wholesale asset management businesses.
- Good working knowledge of the requirements of overseas regulators including the SEC.
- Normal desktop applications e.g. Microsoft Office.
- Experience of liaising with regulatory bodies and industry associations.
- Must demonstrate good analytical and communication skills
- Must demonstrate adding efficiencies to organisations
- Must demonstrate ability to influence boards and senior management

London, Canary Wharf

State Street Job ID: 28166

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We at SSgA Ltd are committed to offering our customers the highest possible standards of service and fully support the Financial Services Authority initiative of ‘Treating Customers Fairly”.

State Street Corporation (NYSE: STT) is the world's leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $18.795 trillion in assets under custody and administration and $1.911 trillion in assets under management at December 31, 2009, State Street operates in 25 countries and more than 100 geographic markets and employs 27,310 worldwide.

Operating in the United Kingdom since 1972, State Street services customers in multiple locations.
http://www.statestreet.co.uk