Investment Compliance

1 month ago

Mumbai, India State Street Full time

Who we are looking for:

Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange Commission) requirements and (ii) investment guidelines stated in the Prospectus/Statement of Additional Information (SAI).

Why this role is important to us:

The team you will be joining is a part of State Street Global Advisors (SSGA), one of the biggest asset managers in the world, that provides services to the worldâs governments, institutions and financial advisors. Our array of offerings includes exchange traded funds (ETFs) and investment solutions and support for Defined Contribution plan sponsors and participants. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest.

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

What you will be responsible for:

  • 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. (For example, changes related to how a particular derivative should be treated for Derivative Coverage testing or CFTC Testing or IRC)
  • 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
  • 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.
  • Participates on projects or committees within the department and/or with BU Shared Services, COEs and Client Operations teams.

What we value:

These skills will help you succeed in this role:

  • Good knowledge of U.S. Investment Companies Act of 1940 or UCITS
  • Strong communication, interpersonal, organizational, and time management skills
  • Ability to analyze investment guidelines and policies to determine testing requirements
  • Excellent communication, organization, interpersonal planning, and analytical skills
  • Deadline and detail oriented
  • Demonstrated computer proficiency, including advanced knowledge of MS Excel, as well as problem solving and analytical skills

Education & Preferred Qualifications:

  • University degree in Business majoring in Accounting, Finance, or other Financial-related programs
  • Overall experience of 4+ years in Fund Administration or related work.
  • Investment compliance monitoring or coding experience is a must. (Pre or post-trade investment compliance)
  • Certifications: Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities & Investment) are preferred, but certification is not a must for the role

Secondary Skills (Good to Have)

  • Exposure to Charles River Development (CRD)
  • Coding in Visual Basic Applications (VBA)

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation weâre making our mark on the financial services industry. For more than two centuries, weâve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary in locations, but you may expect generous medical care, insurance and savings plans among other perks. Youâll have access to flexible Work Program to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We truly believe our employeesâ diverse backgrounds, experiences and perspective are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome the candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift program and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

Discover more at StateStreet.com/careers

State Street's Speak Up Line

  • Investment Compliance

    5 months ago

    Mumbai, India JPMorgan Chase & Co. Full time

    Role overview: . Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry...

  • Investment Compliance

    5 months ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Role overview**: J.P. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and...

  • Investment Compliance

    5 months ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Worldwide Securities Services (WSS) Summary**: **Department Summary**: Market-leading post-trade compliance reporting services for portfolio risk management. J.P. Morgan's market-leading Compliance Reporting Services enables asset managers, fund sponsors and trustees to efficiently detect and manage violations of client-specified...

  • Senior Investment Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Peoplenomic Full time

    Investment Compliance Role at PeoplenomicWe are seeking an experienced Investment Compliance professional to join our team at Peoplenomic. As a key member of our Investment Compliance team, you will play a crucial role in ensuring that our investment activities are in line with regulatory requirements and internal policies.Key Responsibilities:Work closely...

  • Senior Investment Compliance Officer

    3 weeks ago

    Mumbai, Maharashtra, India Peoplenomic Full time

    Investment Compliance Role at PeoplenomicAs a Senior Investment Compliance Officer at Peoplenomic, you will be responsible for ensuring the investment activities of our Mutual Funds, Alternative Investment Funds, and Portfolio Management Services businesses are in compliance with regulatory requirements. This includes working closely with our Equity and...

  • Investment Compliance

    2 months ago

    Mumbai, Maharashtra, India State Street Full time

    What you will be responsible for: - 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...

  • VP Compliance Alternative Investment

    1 day ago

    mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai. Reporting Structure: Global CCO As a Compliance Officer, you will have a critical role in ensuring...

  • VP Compliance Alternative Investment

    2 days ago

    mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai.Reporting Structure: Global CCOAs a Compliance Officer, you will have a critical role in ensuring regulatory...

  • VP Compliance Alternative Investment

    5 days ago

    mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai. Reporting Structure: Global CCO As a Compliance Officer, you will have a critical role in ensuring...

  • VP Compliance Alternative Investment

    1 week ago

    Mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai.Reporting Structure: Global CCOAs a Compliance Officer, you will have a critical role in ensuring regulatory...

  • VP Compliance Alternative Investment

    6 days ago

    mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai.Reporting Structure: Global CCOAs a Compliance Officer, you will have a critical role in ensuring regulatory...

  • Vp compliance alternative investment

    1 week ago

    Mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai.Reporting Structure: Global CCOAs a Compliance Officer, you will have a critical role in ensuring regulatory...

  • VP Compliance Alternative Investment

    1 week ago

    Mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai. Reporting Structure: Global CCO As a Compliance Officer, you will have a critical role in ensuring regulatory...

  • VP Compliance Alternative Investment

    1 week ago

    Mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai.Reporting Structure: Global CCOAs a Compliance Officer, you will have a critical role in ensuring regulatory...

  • VP Compliance Alternative Investment

    1 week ago

    Mumbai, India Larson Maddox Full time

    Our client, a leading alternative investment firm with a strong presence in the APAC region, is in search of a Vice President of Compliance to oversee compliance matters for onshore India and work closely with SEBI. This role will be based in Mumbai. Reporting Structure: Global CCO As a Compliance Officer, you will have a critical role in ensuring...

  • Investment Compliance

    5 months ago

    Mumbai, India JPMorgan Chase & Co. Full time

    Worldwide Securities Services (WSS) Summary: . Morgan Worldwide Securities Services (WSS) is a premier securities servicing provider that helps institutional investors, alternative asset managers, broker dealers and equity issuers optimize efficiency, mitigate risk and enhance revenue. A division of JPMorgan Chase Bank, WSS leverages the firm’s global...

  • Compliance Officer for Alternative Investment Funds

    5 days ago

    Mumbai, Maharashtra, India Larson Maddox Full time

    About the RoleLarson Maddox is seeking a seasoned Compliance Officer to join our team in Mumbai, India. As a Vice President of Compliance, you will be responsible for overseeing compliance matters for our onshore India operations and working closely with the Global CCO and SEBI.Key Responsibilities:Compliance Oversight: Supervise compliance activities for...

  • Investment Compliance

    5 months ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Worldwide Securities Services (WSS) Summary**: **Department Summary**: Market-leading post-trade compliance reporting services for portfolio risk management. J.P. Morgan's market-leading Compliance Reporting Services enables asset managers, fund sponsors and trustees to efficiently detect and manage violations of client-specified...

  • Compliance/legal- Investment Banking Division

    5 months ago

    Mumbai, India JM Financial Full time

    **Eligibility Criteria-** **Years of experience**: 4-8 years **Designation**: Manager/ Sr Manager **Location**: Mumbai **Qualification**:LLB **Key Responsibilities include-** Transaction Compliance: Handling compliance work for Capital Markets, Mergers & Acquisitions and advisory mandates. Drafting, reviewing and vetting various documents and...

  • Investment Associate

    4 weeks ago

    Mumbai, Maharashtra, India Artha Group Full time

    About Artha GroupArtha Group is a premier family office investing in over 120 startups worldwide. We have deep expertise in identifying early-stage opportunities and growing them into global industry leaders. Our investments span across verticals, including hospitality, fintech, consumer goods, and renewable energy.Job Title: Associate - InvestmentThe...