Associate 2 - Investment Compliance Analyst
CurrentAs an Investment Compliance Analyst at State Street, I ensured regulatory compliance and adherence to investment guidelines for clients in the financial sector, including adherence to the Investment Company Act of 1940 and US Securities and Exchange Commission guidelines. I facilitated seamless collaboration between teams and delivered tailored solutions for US and Toronto clients Below are further highlights of my contributions:• Onboarding New clients for Investment compliance involved understanding their needs and investment goals and extracting compliance rules. Hence, created a compliance rules matrix as per the guidelines• Performed comprehensive daily and monthly compliance tasks using dashboard tools, including alert monitoring, identifying suspicious transactions, accurate NAV calculations, and issuing breach reports. Promptly communicated and escalated client concerns as needed• Collaborated with the Data team to address discrepancies in data load sourced from platforms like Bloomberg and MCH, tracking issues through JIRA until resolution• Performed daily portfolio transaction reviews to monitor compliance with investment restrictions. Identified breaches and collaborated with relevant parties for swift rectification• Leveraged one year of specialized knowledge in the Charles River (CRD) platform to optimize post-trade compliance and asset management, driving efficiency and accuracy in day-to-day operations• Researched ad-hoc queries from the compliance reporting team to assess portfolio alignment with investment guidelines• Ensured portfolio investments complied with client guidelines, internal policies, and regulatory requirements• Analyzed and interpreted investment guidelines for equity and fixed-income securities• Demonstrated a commitment to continuous learning and professional development, staying abreast of emerging regulatory trends and industry developments to drive continuous improvement initiatives
