Compliance advisory is predominantly related to transfer agency activities and funds. The focus of the activities is to provide compliance advice and support to the local business and liaise primarily with customers and service providers from a compliance point of view.
Works closely with colleagues from other State Street and IFDS offices
Lead and Manage the Compliance Regulatory Team and provide Compliance regulatory advice to the business.
Provide the Head of Compliance support in preparing and delivery the compliance risk assessment, compliance plan and compliance reports.
Be the backup of the Head of Compliance
Represent Compliance in clients and due diligence meetings
Provide clear, reliable and consistent advice on any compliance issues arising in business, and be the primary contact with clients.
Support the Head of Compliance in managing the relationship with the regulator and organizing and managing their correspondences
Provide training to staff on compliance subjects as considered necessary for the business as and when necessary.
Ensure you are aware of the risks associated with the processes of the compliance department and controls used to mitigate those risks.
Take proactive steps in identifying any further risks or controls that may have an impact or bring added benefit or development on our processes from a compliance point of view
Implement and review policies and procedures from a compliance point of view
Monitors regulatory developments and advises on regulatory matters affecting IFDS’s business
Collaborates with colleagues across IFDS / State Street’s legal division on global and regional compliance projects
Continually monitoring and assessing the impact of all relevant regulatory developments and making business aware of the measures that need to be taken in order to ensure compliance.
Master degree in Law or Economic or Finance.
3-5 years of professional experience as in-house lawyer or compliance in a bank, asset management company or law firm with focus on investment fund servicing activities in an international environment.
Experience with transfer agent is considered an advantage.
Ability to analyze complex situations and obtain information to reach sound conclusions
Strong organizational skills, with attention to detail and meeting tight deadlines
Excellent communication skills, with proven ability to influence opinion especially with senior business managers
Team player with ability to interact with multiple levels in an organization in an international environment
Service-oriented and results-focused
Hands-on and ability to work independently
Ability to present confidently and articulately to large audience
Ability to interpret the regulatory environment and apply in context to the programs within Compliance
Strong ability to manage and facilitate compliance projects
Microsoft Office (Word, Excel, Powerpoint)
English (fluent, spoken and in writing), French and / or German considered an advantage