Associate 2 - Investment Compliance

4 days ago

Mumbai, India State Street Full time

In depth knowledge of regulatory requirements including Investment Company Act of 1940, Internal Revenue Code, UCITS, 2a-7, etc.
- Preferred experience with and understanding of one or many regulatory body requirements not limited to SEC, IRS, Commodity Futures Trading Commission (CFTC), Undertakings for Collective Investment in Transferable Securities (UCITS), Committee of European Securities Regulators (CESR)
- Ability to understand and decipher Prospectus, Statement of Additional Information (SAI), Investment Policies, Practices and Procedures, and other client restrictions and translate all requirements
- Experience required with Rule Coding into post trade investment compliance systems defining logic-based rules and workflow processes
- Knowledge of all type of investments, including domestic and international securities, equities, fixed income, derivatives, securities holding other constituents or others such as mutual funds, index securities, and other complex securities
- Advanced Excel skills is a plus (formulas, pivot tables)
- A background in compliance / regulatory monitoring or financial technology preferred
- Project management skills (organized, self-motivated and deadline oriented)
- Ability to build and maintain positive relationships with all levels of management internally within the organization

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