Compliance Program

Job Description Compliance Program & Regulatory Support Assistant Vice President Location: Bengaluru (Bangalore), India Time Type: Full time Work Model: Hybrid Business: State Street Investment Management Compliance Advisory Who We Are Looking For We are seeking an Assistant Vice President (AVP) to lead the implementation of Corporate Compliance program components within the Compliance Advisory team at State Street Investment Management (State Street IM) and to drive a range of regulatory and fund-support compliance activities. The ideal candidate is a handson program manager and compliance subjectmatter expert who can coordinate global stakeholders, establish and track performance metrics, ensure timely execution of control activities, and elevate team capabilities through training and process excellence. Why this role is important to us The Compliance Advisory team plays a central role in safeguarding our clients, our funds, and our firm. This role will translate Corporate Compliance program requirements into daytoday execution for State Street IM, enable riskaware decisionmaking through highquality metrics and reporting, and strengthen regulatory readinessincluding board reporting, due diligence over third parties, regulatory change management, and exam coordination. Success in this role directly supports the firm's governance, regulatory posture, and operational resilience. The role will have a reporting line into the Senior Compliance Officer for State Street IM in relation to Corporate Compliance responsibilities. What You Will Be Responsible For - Corporate Compliance Program Implementation (Primary Focus) - Own the planning and timely execution of Corporate Compliance program requirements relevant to the Compliance Advisory teamincluding Core Compliance Risk Assessment (CCRA), Compliance Risk Opinion, Issue Management, Global Regulatory Change Management, Control Certifications, and ad hoc assignments. - Establish and implement performance metrics (e.g., KPIs/KRIs) and reporting to the Senior Compliance Officer (SCO), including transparent narrative, escalations, and aging analysis. - Serve as subject matter expert for Corporate Compliance standards and procedures across Corporate Compliance Centers of Excellence, ensuring requirements are well understood, documented, and embedded in Compliance Advisory team processes. - Perform quality assurance and scoping reviews of Regulatory Event Forms (REFs), Regulatory Impact Analyses (RIAs), and Business Impact Analyses (BIAs) to ensure completeness, clear scope, and readytoexecute control actions. - Enhance issuemanagement controls for identification, escalation, and remediation of atrisk/offtrack items in Archer/ArcherX, with transparent status and aging analysis to the SCO. - Build and run onboarding plans and refresher training for key program topics, and provide coaching to colleagues on special initiatives such as LAN Access Review and GRCM data quality. - Serve as the Senior Compliance Officer (SCO) Delegate for the Compliance Program Oversight Committee. - Act as process manager across recurring and ad-hoc initiatives, driving consistency, documentation, ontime delivery, and continuous improvement. - Report to SCO on the above matters. - Regulatory & Fund Support - Lead or act as lead preparer for quarterly Chief Compliance Officer (CCO) Board reports of the 40 Act Registered Funds (ETFs and Mutual Funds) and contribute to preparation of other fund board materials; elevate content quality, consistency, and accuracy; and evolve towards reviewer responsibilities. - Lead periodic service provider due diligence meetings (pre-meeting questionnaires, analysis, agenda, and in-meeting Q&A), document outcomes, and ensure timely communication of material matters (e.g., regulatory inquiries/exams, material changes) to relevant CCOs and senior stakeholders. - Review quarterly CCO Summaries of service providers and sub-advisers of the 40 Act Registered Funds (including quarterly attestations, memos, news) and document the review. - Coordinate evidence gathering, responses, and stakeholder management for regulatory examinations (e.g., SEC, Federal Reserve) and internal/external audits, ensuring clarity of roles, completeness, and timeliness. - Analyze proposed, final, and amended regulatory rules to assess their relevance to and impact on State Street IM legal entities in the United States and related personnel in the First Line of Defense (FLOD), serving as the SEC Curator for related obligations. - Provide analysis and guidance on select regulatory compliance issues under U.S. Federal Securities Laws, including those applicable to registered investment advisers and registered investment companies (e.g., mutual funds and ETFs). - Track and report the Objectives and Key Results (OKRs) for the Compliance Advisory team, aligning program execution to quarterly outcomes and highlighting risks to delivery with clear mitigations. - Complete ad hoc assignments (e.g., partner with compliance colleagues in North America, EMEA, and APAC on aligned deliverables). - Leadership, People & Capability Building - Identify Corporate Compliance minimum competency expectations for Compliance Advisory team responsibilities, curate learning resources, and communicate expectations clearly. - Build and run onboarding plans and refresher training for key Corporate Compliance program topics. - Provide daytoday direction to a junior officer/associate and/or matrix leadership across the Compliance Advisory team to develop managerial and leadership skills; champion a culture of risk excellence, collaboration, and continuous improvement. What We Value - Program/Project Leadership: Proven ability to stand up and run multiworkstream compliance programs endtoend with minimal oversight. - Regulatory Judgment: Strong capability to interpret regulatory requirements and translate them into operational controls and procedures. - Risk & Controls Mindset: Fluency with risk assessment concepts (inherent risk, control effectiveness), issue management, and remediation validation. - Communication & Influence: Clear, concise writing and executiveready storytelling; ability to influence without direct authority across global, crossfunctional stakeholders. - DataDriven Execution: Professional comfort building and presenting KPI/KRI dashboards; proficiency in Excel/PowerPoint and Tableau/Power BI; familiarity with GRC platforms (e.g., Archer/Archer X) and regulatory change tools (e.g., CUBE) is a plus. - Quality Orientation: Meticulous attention to detail; consistent ontime delivery in a dynamic, deadlinedriven environment. Education & Preferred Qualifications - Bachelor's degree required (e.g., Business, Finance, Accounting, Law, or related). Advanced degree or legal qualification preferred. - 8 to 10+ years of progressive experience in Compliance (asset management/wealth or banking), including program execution and regulatory/fund support responsibilities. - Experience at a U.S. regulated investment management firm managing registered funds and separately managed accounts, as a subsidiary of a U.S. Bank Holding Company, subject to a compliance risk management program designed to meet Federal Reserve Board expectations for large organizations. - Experience reviewing marketing/financial promotions for compliance with applicable rules (e.g., SEC/FINRA, FCA) in asset management contexts. 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 Job ID: R-779062