Compliance- Manager- Global Advisors

4 weeks ago

Bengaluru, Karnataka, India State Street Full time

State Street Global Advisors ("SSGA") is the asset management business of State Street Corporation, one of the world's leading providers of financial services to institutional investors, with a heritage dating back over two centuries. The SSGA Compliance team works to ensure that SSGA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues. This role is within the SSGA Compliance team in Bangalore. The team is an extension of SSGA Compliance teams globally and provides compliance support to Compliance and Businesses in SSGA.

Why this role is important to us

The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

Key Responsibilities:

This role is to deliver on compliance responsibilities in support of the North America compliance program and the global market surveillance program within SSGA, including:

  • Managing compliance certification requirements such as quarterly board certifications and other periodic certifications
  • Performing negative news searches (e.g., Conduct Refinitiv World-Check One) as part of the anti-money laundering processes for SSGA
  • Administration of regulatory filings not limited to data and information gathering, maintenance of filing obligations calendar, coordinating subject matter expert reviews of filings and tracking completion
  • Providing data to Regulatory Reporting Team for Annual SHCA Schedule 3 regulatory reporting support
  • Conducting Quarterly Global Security Access Reviews
  • Preparing materials for internal and external audits and examinations, coordinating subject matter experts and ensuring requests are responded to timely
  • Creating and maintaining procedures for functions performed.
  • Collaborate with the global Compliance and Business departments to evaluate current processes, identify areas for improvement, and suggest and implement solutions.
  • Assistance with production of reporting and analytics on the market surveillance program, including Key Risk and Key Performance metrics, for reporting to legal entity boards and risk committees
  • Assist with reviewing communication and trade surveillance for assigned asset class/investment group, raise inquiries of suspicious red flags of violating regulatory rules or internal policies, analyze, investigate, draw conclusions and communicate monitoring results and escalation to business representatives and other constituents

Basic Qualifications/ Skills:

  • 8-12 years of work experience, preferably in the financial industry or asset management industry, with a focus on risk and compliance
  • Strong analytical thinking, problem solving, research, time management, and verbal and written communication skills, including an ability to actively communicate concerns
  • Strong technical skills for project management, creating presentations, reports, and data analytics
  • Demonstrated organizational skills (including being able to balance multiple tasks) and acute attention to detail
  • Capable of producing high quality and/or final work product and solutions in a rapidly changing environment with tight deadlines, including the skill to prioritize and allocate projects and workflow to ensure timely and accurate delivery
  • Collaborative by nature with the capability to help others achieve more
  • Ability to form and cultivate positive relationships with internal partners
  • Strong sense of ethics and personal integrity
  • A positive attitude that motivates and inspires others
  • Bachelor's Degree from a reputed Institution

Recognized Financial, Compliance and/or Risk Certifications

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