Associate 2 - Investment Compliance
4 days ago
o Need to have In depth knowledge of regulatory requirements including Investment Company Act of 1940, Internal Revenue Code, UCITS, 2a-7, etc.
o 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)
o Ability to understand and decipher Prospectus, Statement of Additional Information (SAI), Investment Policies, Practices and Procedures, and other client restrictions and translate all requirements
o Experience required in post trade investment compliance systems defining logic-based rules and workflow processes
o 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 (Capital Markets)
o Excel skills is a plus (formulas, pivot tables)
o A background in compliance / regulatory monitoring or financial technology preferred
o Project management skills (organized, self-motivated and deadline oriented)
o Ability to build and maintain positive relationships with all levels of management internally within the organization
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Investment Compliance- Associate 2
2 weeks ago
Bengaluru, India State Street Full timeBasic Purpose of Job: To perform various Investment Compliance tasks in support of SSgA portfolios managed in North America, Europe and Asia Pacific. Key Responsibilities: - Assist regional SSgA offices in North America, Europe, and Asia Pacific by performing various Investment Oversight tasks associated with Incident Management and surveillance. -...
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Associate 2 - Investment Compliance
4 days ago
Bengaluru, India State Street Full timeNeed to have 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...
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Associate 2 - Investment Compliance
7 days ago
Bengaluru, India State Street Full timeOnboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix. - Liaise with clients to obtain additional information that may be necessary from time to time to code compliance matrix into the compliance...
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Associate 2 - Investment Compliance
2 weeks ago
Bengaluru, India State Street Full timeNeed to have 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...
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Investment Compliance Specialist
2 weeks ago
Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 25,00,000 - ₹ 50,00,000Compliance Monitoring RoleThis position involves overseeing the implementation of compliance regulations and guidelines to ensure adherence across our operations.Responsibilities:We are seeking a Compliance Associate/Senior Associate to join our team. The successful candidate will be responsible for monitoring and enforcing compliance with regulatory...
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Functional Compliance
2 days ago
Bengaluru, India State Street Full timeJob Description - Associate 2 - 200 Personal Account Dealings Overview of Conduct Risk Management Office: The Conduct Risk Management Office plays an important role in protecting State Street’s reputation. The Conduct Risk Management Office (CRMO) in a key partner in managing all types of conflicts between the company, employees, and clients. The role of...
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Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeAbout the job: Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts,...
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Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeAbout the job: Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry...
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Investment Compliance Specialist
4 days ago
Bengaluru, Karnataka, India beBeeInvestment Full time ₹ 1,39,98,420 - ₹ 1,53,62,136Compliance is a critical aspect of our organization, and we are seeking a skilled Investment Compliance Associate to join our team.About the Role:This position will be responsible for implementing and maintaining controls and processes to ensure compliance with regulatory and client guidelines across various portfolios.The ideal candidate will have...
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Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeAbout the job:Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts,...
