As Investment Compliance, AVP you will:

Who we are looking for:

The Investment Compliance Service AVP role in Asia Pacific Global Delivery (GD) Business unit located in Hangzhou is to service APAC clients by providing post-trade compliance surveillance over investment activities cross Mutual fund, asset management business, ETF product etc.. The role involves interaction with various units locally and overseas. Accuracy, timeliness and delivery of client service are imperative in this position with increased focus towards quality controls, documentation and process improvements.

Why this role is important to us:

The team you will be joining is a part of State Street Global Services (SSGS). SSGS gives asset owners and managers access to the essential financial tools they need to deliver effective investment solutions. From core custody, accounting, fund administration and shareholder recordkeeping, to complete operations solutions and servicing for alternative assets like OTC derivatives, private equity and real estate, SSGS’ tools help our clients make better investment choices and act on growth opportunities.

Also, this Investment Compliance Service AVP role would be responsible for drive strategy, design, adoption and lead the implementation of Data and Automation across the financial reporting function. Closely working with the operations team to evaluate Data Insight needs, Automation Needs, Problem statements, then analyze, articulate and lead solution development to improve business results.

Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible for:

As <Assistant Vice President> you will

· Follow up/optimize the operating model to fulfill various requirements from newly on boarded clients and in compliance with regulatory and internal risk control requirements

· Manage internal and external client relationships and handle daily operation related queries.

· Manage and oversee development of all subordinate staff members

· Ensure service level agreements are met and implement appropriate changes where necessary.

· Develop, review and analyze metric data & risk reports and present findings and solutions to Management

· Oversee reviews of procedures on a regular basis to ensure alignment with Standard Operating Procedures is up to date

· Comply with company risk and compliance requirements and assist in the Corporate Audit when necessary

· Analyze current processes and recommend process improvements

· Meet client deliverables timely and accurately with no performance alert and financial loss.

· Proactively look for solutions to client problems to improve the process and reduce/ simplify the cycles with the goal

· Ensure teams have the proper training, etc to meet deliverables. Ensure controls, checklists, procedures, and compliance requirements are met timely and accurately when delivering services to our clients. Ensure all company trainings are completed timely for both team and individual. Ensure the succession plan has been placed and regularly updated

· Keep Risk excellence in mind. Including issue escalation, business project communication, and business partnership communication.

· Communicate to clients effectively and build strategic partnerships with your clients. Escalate issues timely, and work well in a team environment to accomplish our goals.

· Ensure OT policy is followed with no exception within your team. Manage the turnover rate.

· Support and participate in global footprint strategy to ensure completion on schedule.

· Partner with internal and external stakeholders to identify automation opportunities by analyzing processes and assessing feasibility for automation

· Optimize or recommend process optimization/improvement within bounds of automation (VBA, Python, APA, RDA/RPA etc)

· Develop a solution strategy and conduct proof of concepts

· Support existing processes and implement change requirements as part of a structured change control process

· Leads automations through life cycle for completion (i.e. business/function requirement analysis and documentation, code/workflow development, testing, release and post-release support)

· Foster an environment of innovation and transformation to drive changes for higher productivity

What we value:

These skills will help you succeed in this role

· Familiar with the Fund Investment Compliance service and etc. business, have broad knowledge of fund investment or bank back office operation

· Good understanding of financial products valuation would be prefer

· 8+ years’ experience in fund service with a good understanding of global market and local regulation.

· 3+ years of management experience

· Strong ability and past experience to drive changes and projects.

· Good communication and interpersonal skills

· Securities qualification or accounting related certification is a plus

· Solid experiences with end to end digital transformation in different areas of business.

· Excellent communication, influencing and negotiation skills with the ability to develop and maintain collaborative relationships both internally and with external stakeholders.

· Strong organizational skills ideally with project and program management experience and a demonstrated track record of project delivery.

· Advanced analytical skills with the ability to anticipate issues and aggressively drive initiatives to achieve results.

· Confident in autonomous decision making. Ability to initiate and drive change (previous track record of managing change).

· Control focus with a thorough understanding of operational risk.

Education & Preferred Qualifications:

· Bachelor + with major finance, accounting would prefer

· CFA , CPA would be plus

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