Compliance- Associate 2- Global Advisors

3 weeks ago


Bengaluru, Karnataka, India State Street Full time

Basic Job Purpose:

To perform Investment Compliance tasks to support SSgA portfolios managed across North America, Europe and Asia Pacific regions.

Main Responsibilities:

  • Support SSgA offices in North America, Europe, and Asia Pacific by conducting Investment Oversight tasks related to Sentinel Rule Coding review, ensuring compliance with global investment industry regulations and internal firm guidelines.
  • Act as a liaison with different departments to convey compliance requirements, stay updated on firm and industry regulations, particularly regarding Trade Compliance.
  • Manage daily task assignment efficiently and ensure timely approvals to external parties/Global Counterparts.
  • Collaborate with specialized SSgA teams to address client requests, follow up, and escalate as needed for timely task completion.
  • Engage with global Compliance and Business units to assess current processes, identify areas for enhancement, and propose and implement solutions.
  • Participate in calls with Global Partners to discuss process metrics, enhancements, and accuracy-related issues.
  • Aid in smooth transition of new work types to the Bangalore team.

Key Skills and Attributes:

  • Demonstrate strong ethics and personal integrity.
  • Apply a robust analytical approach and exhibit problem-solving abilities.
  • Effectively communicate concerns and feedback.
  • Have acute attention to detail.
  • Possess broad knowledge of various financial products and investment strategies.
  • Ability to collaborate with diverse teams like Marketing, Portfolio Managers, Engineers, Operations, and Client Services.
  • Demonstrate excellent organizational skills.
  • Work effectively under time and resource constraints.

Job Qualifications:

  • 2-3 years of experience in the financial services sector, preferably in Asset Management or Investment Compliance.
  • Familiarity with Sentinel, Charles River, or other Investment Compliance applications is advantageous.
  • Hold a Bachelor's or Master's degree in Business, Finance, Engineering, or related field.
  • Proficient in Word, Excel, and similar software applications.


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