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Home India Investment Compliance - Associate 2

Investment Compliance - Associate 2

Full time at in India
Posted on November 16, 2019

Job details

Details Department/ Division:Specialized Products Sub-Department Name:Compliance Functional Job Title: Associate 2 Reports To: Manager Job Location: Mumbai Company Overview State Street Corporation (NYSE: STT) is the world's leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $28.40 trillion in assets under custody and administration and $2.48 trillion in assets under management as of June 30, 2014, State Street operates globally in more than 100 geographic markets and employs 29,420 worldwide. For more information, visit State Street's website at www.statestreet.com .

Promoting a culture of excellence

With more than 29,420 employees across 29 countries, at State Street, our people are our greatest asset. We recognize that highly skilled, engaged and productive employees are essential to our success. Our company values reflect our commitment to employee engagement, Global Inclusion and corporate social responsibility - to help you build a fulfilling career. Around the world, we aim to be an employer of choice by offering competitive compensation and benefits, personal and professional development opportunities, and a work environment that promotes a diverse array of people, ideas and skills. We're a company that insists on, and rewards, performance excellence. We know our success hinges on attracting the best people to join us - people like you.

State Street supports flexible work arrangements where determined feasible, consistent with business and operational needs. Subject to an individualized assessment of these considerations, roles may be identified as potentially suited for a flexible work arrangement. Requests for a flexible work arrangement can be made upon hire. All employees at State Street have the ability to request flexible work arrangements, with the final decision based solely on business discretion and subject to management approval. More information is available here. We encourage you to explore the possibilities that a career at State Street can offer you.

State Street is an Equal Opportunity Employer, and prohibits discrimination against applicants or employees on the basis of any legally protected characteristic. Purpose of the Job The purpose of the job is to provide end to end support to investment company clients & their Compliance teams meaningful insights into funds ability to comply with SEC requirements and also the compliance with guidelines given in the prospectus and Statement of Additional Information (SAI). Roles and Responsibilities (list the primary job duties and responsibilities)

  • Supervises the daily and monthly activities of the Investment Compliance Monitoring staff.
  • Manages the day-to-day activities and controls to ensure daily deliverables are met and that daily work is performed accurately.
  • Ensures Standard Operating Procedures are being followed.
  • Manages and facilitates timely resolution of issues.
  • Keep management informed of any potential issues
  • Keeps abreast of regulatory compliance and developments for the assigned area and apprises staff as necessary.
  • Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed
  • Provides immediate supervision to a group, assigning tasks and checking work at regular intervals. A portion of the time is normally spent performing individual tasks related to the unit
  • Participates on projects or committees within the department and/or with BU Shared Services, COEs and Client Operations teams.
  • During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.
  • Conducts periodic performance reviews; provides ongoing counsel, training, development and motivation of staff.
  • Participates in the hiring, salary, promotional and termination recommendation process
Mandatory Process Skills Sets:
  • Fund Accounting
  • Transaction Processing

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