Transfer Agency, Compliance Manager
Our Company
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 $24.37 trillion in assets under custody and administration and $2.09 trillion in assets under management at December 31, 2012, State Street operates in 29 countries and more than 100 geographic markets and employs 29,660 worldwide. For more information, visit State Street's website at www.statestreet.com.
Promoting a culture of excellence
With more than 29,660 employees across 29 countries, at State Street, our people are our greatest asset. We recognize that highly skilled, engaged and productive employees are essential to our success. Our company values reflect our commitment to employee engagement, Global Inclusion and corporate social responsibility -- to help you build a fulfilling career. Around the world, we aim to be an employer of choice by offering competitive compensation and benefits, personal and professional development opportunities, and a work environment that promotes a diverse array of people, ideas and skills.
We're a company that insists on, and rewards, performance excellence. We know our success hinges on attracting the best people to join us -- people like you.
We encourage you to explore the possibilities that a career at State Street can offer you.
State Street is committed to embracing diversity and inclusion in the workplace.
Job Summary:
As a Senior Associate within the Quality, Risk Compliance team, you will be responsible for the identification, measurement and management of Regulatory risk as it applies to the Transfer Agency business. You will liaise with Management within the Dealing, Account Registration, Investor Services and Change Management functions in ensuring that appropriate controls and procedures are in place to ensure compliance with regulatory requirements. You will provide specialist guidance and information to the business on key regulations and legislation, particularly in the areas of Anti-Money Laundering, Data Protection, Withholding Tax, UCITs IV and RDR.
You will be based at State Street offices, Sir John Rogerson's Quay, Dublin 2.
Responsibilities
- Provide expert guidance to the business on the application of regulations and legislation impacting Transfer Agency.
- Assess the business's compliance to key legislation and regulations through the management of a testing and sampling programme. Provide Management Reporting on findings and recommendations and work with the business to agree the implementation of recommendations.
- Research and identify changes in Transfer Agency applicable rules, regulations and legislation to ensure the Compliance Monitoring Testing programmeremains current.
- Liaise with Operations and Change Management to define any technical developments required to support Regulatory compliance and contribute to the implementation of these developments, ensuring operational readiness and compliance.
- Support colleagues in the Quality, Risk Compliance team in fulfilling their responsibilities; assist more senior colleagues when required to do so and deputisein their absence.
- Attend and contribute to operational, client, risk, audit and regulatory meetings as required, and actively contribute to Transfer Agency wide initiatives and Focus Groups.
- Initiate and oversee tasks within a continuous improvement drive to ensure that the Transfer Agency department is efficient and customer and quality driven.
- Lead team initiatives.
Experience
- You will have comprehensive procedural, technical and product knowledge of the Transfer Agency business. This should be complemented with a good understanding of associated parties including Fund Accounting, Custody and Trustee.
- You will have an understanding of the Irish funds industry regulatory environment and will be familiar with requirements in terms of Minimum Activities and Derogations or Outsourcing Contracts.
- You will have experience of developing and implementing Compliance Monitoring Programmes.
- You will have a good understanding of legislation and regulations affecting the Transfer Agency business, including Anti-Money Laundering, UCITs IV, Irish Withholding Tax, RDR, FATCA and Data Protection.
- You will have experience in handling and resolving complex/unusual operational and managerial problems that are referred from above and below.
- You will have experience in reviewing processes, assessing risk and defining controls.
- You will have strong experience in a similar environment, likely including time spent within a Compliance, Audit or Trustee function.
Skills
- Attention to detail and concern for quality
- Excellent communication, organizational and planning skills
- Ability to work to deadlines in a fast paced environment
- Ability to proactively work under own initiative
- Business related degree preferable
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