Functional Compliance

7 months ago

Bengaluru Karnataka, India State Street Full time

Conduct Risk Compliance - Associate 2 - Hybrid Work Arrangement

Who are we looking for

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.

What you will be responsible for
- Good understanding of State Street’s Standard of Conduct, State Street Global Advisors Code of Ethics, Global Personal Investment Policy, and other Conduct Risk compliance policies.
- Conduct Risk Compliance team monitors the risk that arises out of an employee’s trades executed via their brokerage accounts, Private Investments and Outside Business Activities etc.
- Daily Surveillance of employees personal securities transactions to ensure requirements are met, escalate the potential violations are researched and escalated appropriately.
- Active participation required on the bi-weekly employee trade surveillance team calls highlighting the Team achievements/deliverables and key challenges observed etc.
- Support on Star Compliance User acceptance testing (UAT), enhancing the existing ‘Standard Operating Procedures’ and creating the new ones when required.
- Proactive mindset to actively collaborate with other compliance teams locally in India and functionally within Conduct Risk Management Office globally is desired.
- Few tasks that include but not limited to broker statement reconciliation, initial holdings certification etc. may involve manual repetitive tasks. Detail attention to these tasks with accuracy is expected.

What we value

These skills will help you succeed in this role
- Good time management skills to prioritize and re-prioritize tasks, open minded to accept feedback from senior compliance team members in a constructive way and attention to detail will fit and succeed in this role.
- Good Excel skillset that includes queries dealing with large data sets and power point skills will be crucial.
- Knowledge of securities markets is desirable.
- Good communication skills including written communication are critical for this role.
- Engaging with employees and or clients on a regular basis
- Ensure accurate processing of different types of transactions (such as review of personal trading transaction alerts, review of employee requests, administration of the systems etc.) in accordance with standard operating procedures

Education & Preferred Qualifications
- Any full time degree would suffice
- 1 to 3 years of Compliance experience will be preferred
- Available to work (12 PM IST to 9 PM IST)

We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don’t necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.

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, we’re making our mark on the financial services industry. For more than two centuries, we’ve 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 by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

State Street is an equal opportunity and affirmative action employer.

  • Functional Compliance

    7 months ago

    Bengaluru, Karnataka, India State Street Corporation Full time

    Functional Compliance - Associate **Conduct Risk Compliance - Associate 2, **Hybrid Work Arrangement** **Who are we looking for** **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...

  • Functional Compliance

    7 months ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance - Associate 2, Hybrid Work Arrangement Who are we looking for 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...

  • Compliance Advisor

    2 months ago

    Bengaluru, Karnataka, India Gainwell Technologies LLC Full time

    **Summary**: As a **Compliance Advisor**, you will collaborate with different teams, interact very closely with multiples cross functional stakeholders/ business partners on Corporate Compliance including Statutory Compliance requirements and executing the same. At Gainwell Technologies, we provide an opportunity to learn, connect, and collaborate with the...

  • Principal Compliance

    2 months ago

    Bengaluru, Karnataka, India BHP Full time

    **Date**:7 Nov 2024**Job Posting End Date**: **Job Country**:India**Job State/Province**:Karnataka**Job Location/Region**:Bangalore**About BHP** At BHP we support our people to grow, learn, develop their skills and reach their potential. With a global portfolio of operations, we offer a diverse and inclusive environment with extraordinary career...

  • Trade Compliance Auditor

    7 months ago

    Bengaluru, Karnataka, India Hewlett Packard Full time

    **Job Summary** - This role leads high complexity assessments of trade compliance per pre-established controls in the business and function. It is responsible for supporting development of trade compliance policies and collaborating with cross-functional teams to ensure implementation of compliance frameworks across business units. Additionally, support on...

  • Compliance Laed

    7 months ago

    Bengaluru, Karnataka, India PhonePe Full time

    **About PhonePe Group**: PhonePe is India’s leading digital payments company with 50 crore (500 Million) registered users and 3.7 crore (37 Million) merchants covering over 99% of the postal codes across India. On the back of its leadership in digital payments, PhonePe has expanded into financial services (Insurance, Mutual Funds, Stock Broking, and...

  • QA Compliance

    1 month ago

    Bengaluru, Karnataka, India Alcon Full time

    Summary of the Position: Execute routine and nonroutine compliance activities to include Change Control, Audit Management, Quality Metrics, Document management and review of regulatory documentation such as Annual Product Quality Reviews. Also responsible to provide technical expertise on compliance matters during various cross functional team meetings or...

  • Compliance Officer

    7 months ago

    Bengaluru, Karnataka, India LRI Invest Full time

    Description Compliance Officer Role Location: India - Department: Compliance Employment Type: Permanent The Role & Key Responsibilities: Job Responsibilities: - The role will be based in India with primary support to Singapore and wider Asia Pacific countries including Australia, China, Hong Kong, India, Japan & New Zealand as appropriate. General scope...

  • Chief Compliance Officer

    7 months ago

    Bengaluru, Karnataka, India PyjamaHR Full time

    **Role**: Chief Compliance Officer **Location**: Bengaluru, Karnataka **Annual CTC**: 30LPA - 40LPA **Key Relationships: - ** **Reports to**: Founder and CEO and Audit & Governance Committee **Internal**: Legal, Finance, HR, Business, Admin, Capital **External**: Government offices, Auditors, Service Providers **Overview**: We are seeking a dedicated...

  • Compliance Officer

    7 months ago

    Bengaluru, Karnataka, India Aavana Corporate Solution Pvt Ltd Full time

    Bachelor's degree in Business Administration, Law, Finance, or related field. Advanced degree or professional certification in Compliance is preferred. - Minimum of 1 years of experience in compliance management, preferably into License & Permit will advantage. - Strong understanding of regulatory requirements, including but not limited to Trade License,...

  • Chief Compliance Officer

    7 months ago

    Bengaluru, Karnataka, India PyjamaHR Full time

    **About the Company** We, RentoMojo, were founded by IITM alums and serial entrepreneurs who worked out of almost every major city in India in his first five years of corporate career. Frustrated with the hassles of relocating from one place to the other, and tired of finding that perfect cluster of home essentials that suited their lifestyle. - **"The...

  • Compliance Officer India

    7 months ago

    Bengaluru, Karnataka, India Merck KGaA Full time

    Work Your Magic with us! Ready to explore, break barriers, and discover more? We know you've got big plans '“ so do we! Our colleagues across the globe love innovating with science and technology to enrich people's lives with our solutions in Healthcare, Life Science, and Electronics. Together, we dream big and are passionate about caring for our rich mix...

  • Compliance Officer

    7 months ago

    Bengaluru, Karnataka, India S&P Global Full time

    **About the Role**: **Grade Level (for internal use)**: 11 **The Team**: The Compliance team dedicated to the Market Intelligence division serves in an advisory capacity to the organization on the design and execution of strategy, making risk-based decisions, and evaluating opportunities while ensuring adherence to S&P Global’s compliance policies and...

  • Corporate Counsel

    3 months ago

    Bengaluru, Karnataka, India Wipro Limited Full time

    Bengaluru, India - GSH - 3110184 **Job Description**: **Corporate Counsel, Compliance** Wipro Limited (NYSE: WIT, BSE: 507685, NSE: WIPRO) is a leading technology services and consulting company focused on building innovative solutions that address clients’ most complex digital transformation needs. Leveraging our holistic portfolio of capabilities in...

  • Tgs Validation

    8 months ago

    Bengaluru, Karnataka, India BD Full time

    Job Description Summary The Technology and Global Services (TGS) Validation & Compliance Archivist role is primarily responsible for the management of software development lifecycle (SDLC) documents used for Computer System Validation (CSV) and compliance evidence. The Archivist will work with the Validation Center of Excellence (COE) and cross-functional...

  • Functional Testing

    6 days ago

    Karnataka, India Fusion Plus Solutions Inc Full time

    Number of Openings- 2- ECMS Request no in sourcing stage- 407455, 407453- Duration of contract- 6 months- Total Yrs. of Experience- 4 +- Relevant Yrs. of experience- 4 +- Detailed JD (Roles and Responsibilities) - **IR certified compliance profiles to avoid any compliance issue post onboarding (UK request Europe)** - Talent should be able to analyze...

  • Compliance Officer

    4 months ago

    Bengaluru, Karnataka, India Cognite Full time

    **About Cognite** Embark on a transformative journey with Cognite, a global SaaS forerunner in leveraging data to unravel complex business challenges through our cutting-edge Cognite Data Fusion (CDF) platform. We were awarded the 2022 Technology Innovation Leader for Global Digital Industrial Platforms. In the realm of industrial digitalization, we stand...

  • Functional Safety

    7 months ago

    Bengaluru, Karnataka, India Tata Consultancy Services Full time

    Functional Safety 4 to 8yr Pune/ Bangalore/ Hyderabad/Nagpur 1. Working experience in Automotive Embedded Development lifecycle with ISO26262 in systems scope 2. Experience of system, hardware, software development Process in at least one domain ADAS/ Powertrain / Body / Chassis / Safety systems / EV/ HEV 3. Complete understanding of ISO26262 compliance...

  • Avp - Compliance Governance

    4 months ago

    Bengaluru, Karnataka, India HSBC Full time

    -Job description **Some careers have more impact than others**. If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. HSBC is one of the largest banking and financial services organisations in the world, with operations in 62 countries and territories. We aim to be where the growth is,...

  • Legal and Compliance Executive

    6 months ago

    Bengaluru, Karnataka, India GoKhana-Tobox Ventures Pvt Ltd Full time

    **About GoKhana - ToBox Ventures Pvt Ltd**: GoKhana is a full-stack B2B technology company that manages end-to-end food programs for corporates and enables the Next-Gen Digitized Cafeteria. Bringing together an imaginative blend of technology, logistics and food service management, GoKhana offers SaaS solutions to digitize corporate cafeterias and eateries...