BU Compliance - Senior Associate at State Street Corporation - United States

Bengaluru, karnataka, India -

Full Time

Start Date

Immediate

Expiry Date

14 Aug, 26

Salary

0.0

Posted On

16 May, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Investment Compliance, Client Onboarding, Compliance Rule Matrix, Risk Analysis, Sentinel, Charles River, Prospectus Interpretation, Investment Mandates, Operational Risk Management, Compliance Reporting

Industry

Financial Services

Description

Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix. Liaise with clients to obtain additional information that may be necessary from time to time to code compliance matrix into the compliance system. Perform annual review of compliance rules in the matrix by comparing them against updated prospectuses/SAIs. Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines Liaise with coding team for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients. Demonstrate in-depth knowledge of Investment compliance to translate client requirements into actionable items for internal teams and work with internal teams. Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed Adheres to Standard Operating Procedures and improvises Operating procedures where they do not fall in line with the process Ensures timely resolution of issues while keeping management informed of any potential issues. Responsible for performing daily processes accurately and in accordance with defined time frames and client requirements. May have daily contact with Client Service, Client Management, COEs and Business Unit (BU) Shared Service teams Participates on projects or committees within the department and/or with BU Shared Services, COEs and Client Operations teams. Handson experience with sentinel or Charles River is preferred. About State Street Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success. We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future. As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law. Discover more information on jobs at StateStreet.com/careers Read our CEO Statement Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success. We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future. As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law. Discover more information on jobs at StateStreet.com/careers Read our CEO Statement

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Responsibilities

Responsible for onboarding new clients by interpreting investment mandates and creating compliance rule matrices. The role involves performing annual rule reviews and liaising with internal teams to ensure accurate daily and monthly compliance reporting.