State Street · 22 hours ago
Investment Oversight Analyst, VP I - State Street Investment Management
Boston, MA
Full-time
Hybrid
Senior Level, Lead/Staff
$110K/yr - $189K/yr
10+ years expState Street is a global leader in investment management, and they are seeking an Investment Oversight Analyst at the VP level. The role involves providing investment oversight support, primarily focusing on private credit and collateralized loan obligations, while ensuring compliance with regulatory guidelines and enhancing automation in compliance systems.
BankingFinanceFinancial Services
Responsibilities
Get familiarity with the current infrastructure and identify additional needs to effectively monitor private credit and CLO investments
Clearly communicate any missing data or system requirements to IT, data and vendor teams that will lead to effective monitoring of private credit and CLO investments
Set up guideline rules to monitor Private Credit and CLO investments
Clearly communicate IT, data and system requirements to IT, data and system teams that will lead to coding rules to monitor these asset classes
Coaching the team on the nuance of the asset classes and the workflows
Reading governing documents such as Fund Regulatory governing documents and Investment Management Agreements; identifying and resolving interpretive issues, and reviewing investment restrictions
Extracting compliance restrictions from governing documents for new accounts and amendments, and coding those restrictions into the compliance systems
Completing required new account/amendment documentation, including obtaining all necessary signatures, prior to effective date
Developing, testing, and implementing automated rules within the monitoring systems (Sentinel, CRD, Bloomberg, Aladdin and Virtus) and manual monitoring procedures for non-automated rules
Performing pre and post trade compliance monitoring for all asset classes on commingled funds, separately managed accounts, and registered funds
Analyzing compliance breach trends, identify root causes, and resolve potential systemic issues, including recommending process design improvements and operational efficiencies
Lead projects with IT, Data, and system vendors to identify ways to further enhance automation in the compliance systems; This includes but is not limited to:
Assist in coding and testing rules in the compliance module
Assist in coding Broker rules and broker module rule maintenance
Review fund assignments and coding standards for go-live readiness
Partner with PM teams on CUAT testing/support of compliance rules
Aid in the continued gathering/maintenance of IO business requirements
Aid in the continued support and analysis of IO data asks/mappings
Unit and integration testing of compliance rules
Assist in the development of solutions to address business requirements
Drive and assist in various testing activities:
Develop and refine effective and appropriate test cases for unit and regression testing
Execution of unit and regression tests
Remediation of issues identified in testing
Provide production expertise and support
Bridge gap between business, IT, and compliance vendors for business support
Manage and provide support to completion of new account/amendment onboarding process to ensure that appropriate reviews and sign-offs are timely obtained
Tracking new account and amendment onboarding status, providing reporting and updates to management
Manage and provide support to completion of new account/amendment onboarding process to ensure that appropriate reviews and sign-offs are timely obtained
Tracking new account and amendment onboarding status, providing reporting and updates to management
Developing or enhancing policies and procedures related to compliance processes, with a focus on establishing globally consistent best practices
Lead reviews with internal and external auditors to facilitate controls reviews
Lead in Project work (reviewing regulatory fund docs, compliance system coding/testing, etc..)
Conduct client/local regulator meetings
Qualification
Required
subject matter expertise in all asset classes but primarily Collateralized Loan Obligation (CLO) and Private Credit asset types
proven experience in implementing and monitoring client and regulatory guidelines as well as trade oversight on these products
familiarity with the current infrastructure and identify additional needs to effectively monitor private credit and CLO investments
clearly communicate any missing data or system requirements to IT, data and vendor teams that will lead to effective monitoring of private credit and CLO investments
set up guideline rules to monitor Private Credit and CLO investments
clearly communicate IT, data and system requirements to IT, data and system teams that will lead to coding rules to monitor these asset classes
coaching the team on the nuance of the asset classes and the workflows
reading governing documents such as Fund Regulatory governing documents and Investment Management Agreements; identifying and resolving interpretive issues, and reviewing investment restrictions
extracting compliance restrictions from governing documents for new accounts and amendments, and coding those restrictions into the compliance systems
completing required new account/amendment documentation, including obtaining all necessary signatures, prior to effective date
developing, testing, and implementing automated rules within the monitoring systems (Sentinel, CRD, Bloomberg, Aladdin and Virtus) and manual monitoring procedures for non-automated rules
performing pre and post trade compliance monitoring for all asset classes on commingled funds, separately managed accounts, and registered funds
analyzing compliance breach trends, identify root causes, and resolve potential systemic issues, including recommending process design improvements and operational efficiencies
lead projects with IT, Data, and system vendors to identify ways to further enhance automation in the compliance systems
assist in coding and testing rules in the compliance module
assist in coding Broker rules and broker module rule maintenance
review fund assignments and coding standards for go-live readiness
partner with PM teams on CUAT testing/support of compliance rules
aid in the continued gathering/maintenance of IO business requirements
aid in the continued support and analysis of IO data asks/mappings
unit and integration testing of compliance rules
assist in the development of solutions to address business requirements
drive and assist in various testing activities
develop and refine effective and appropriate test cases for unit and regression testing
execution of unit and regression tests
remediation of issues identified in testing
provide production expertise and support
bridge gap between business, IT, and compliance vendors for business support
manage and provide support to completion of new account/amendment onboarding process to ensure that appropriate reviews and sign-offs are timely obtained
tracking new account and amendment onboarding status, providing reporting and updates to management
developing or enhancing policies and procedures related to compliance processes, with a focus on establishing globally consistent best practices
lead reviews with internal and external auditors to facilitate controls reviews
lead in Project work (reviewing regulatory fund docs, compliance system coding/testing, etc.)
conduct client/local regulator meetings
ability to work under pressure
ability to read governing compliance documents such as IMAs and Prospectus/SAI
demonstrated communication and interpersonal skills
strong analytical skills and organizational skills
attention to detail
ability to work independently and collaboratively with various levels of the organization
strong work ethic
Preferred
Bachelor's degree in Finance, Accounting or Economics is preferred
10+ years' experience in the investment management field including experience in investment portfolio compliance or other areas of compliance
Compliance Platform (Sentinel/CRD) hands on rule coding experience
Proficient in Bloomberg
Proficient in Microsoft Word and Excel
Knowledge of local regulations as it pertains to rule coding and monitoring of accounts
Benefits
401K with company match
Insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
Paid-time off including vacation, sick leave, short term disability, and family care responsibilities
Access to our Employee Assistance Program
Incentive compensation including eligibility for annual performance-based awards
Eligibility for certain tax advantaged savings plans
Flexible work-life support
Paid volunteer days
Vibrant employee networks
Company
State Street
State Street offers a range of financial services, including investment management, research and trading, as well as asset management.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$12.05B2025-10-23Post Ipo Debt· $1B
2025-04-24Post Ipo Debt· $2B
2025-02-06Post Ipo Equity· $750M
Leadership Team
Ronald O'Hanley
Chairman and Chief Executive Officer
R
Renee LaRoche-Morris
Senior Vice President, Chief of Staff to the COO; Head of CAO Services
Recent News
2026-01-09
2026-01-09
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