Fund Compliance Analyst - Associate 2
State Street Corporation
Luxembourg, Luxembourg
il y a 2j

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In the role of Fund Compliance Analyst you will be responsible for :

Reporting to the Fund Compliance Manager ( FCM ), the Fund Compliance Analyst ( FCA ) supports the compliance monitoring functions entailed by the services contracted by our clients and / or the Bank’s depositary duties.

The FCA assists in the process of reviewing investment guidelines, identifiying changes to the current set up, maintaining the funds’ guidelines documentation, and preparing and releasing the related client reports.

The FCA also assists in the set up of new businesses consisting in the follow up of scheduled new deals and ensuring timely completion of the related tasks with due regard to the department’s internal procedures.

The FCA also helps furthering the legal knowledge base of the team by keeping up with regulatory changes and identifying the needed updates to the regulatory restrictions or new ones to be implemented.

A key responsibility of the FCA is to ensure that a clear trail is documented at all stages of the update process.

Ancillary tasks of the FCA is to support the operational teams during short staffing situations. These tasks include the review of the funds in our automated system MIG21 and the analysis of exceptions for subsequent client reporting if applicable.

All of the above tasks are carried out with the outmost objective of delivering quality service to our clients and ensuring that all deadlines are met.

I. Technical Competencies

Regulatory updates

Keeps up with up-to-date information regarding UCITS regulatory changes. Intereacts with the team and helps channeling any amendments in the compliance set up.

Maintains related procedures.

Prospectus reviews

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.
  • Compliance Matrices

    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.

    Compliance Monitoring

    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.

    II. Non-Technical Competencies

    Communication

    Communicates effectively and efficiently with clients, colleagues, managers and other Departments.

    Organization

    Shows good organisational skills in order to meet deadlines and to keep well-documented records.

    Responsiveness

    Provides timely and professional responses to all client related and internal enquirers.

    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.

    To be successful in this role, your experience should include :

    Academic Qualification

  • Degree in Finance, Business, Legal or equivalent.
  • Working Experience

  • Minimum 3 years of experience working in fund compliance.
  • Experience with UCITS legal framework and ESMA regulations.
  • Experience with analyses of Prospectus and / or investment guidelines for compliance restrictions.
  • Technical Knowledge

  • UCITS compliance regulations
  • Financial instruments
  • Good knowledge of Luxembourg Fund Industry
  • Language Skills

  • English mandatory, French, German and / or Italian (would be an advantage)
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