Functional Compliance

Job 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 CRMO is required by legislation which governs the activities of investment advisors. As per the regulatory (such as FINRA/SEC/CBI/FCPA, etc.,) requirement the CRMO is responsible for monitoring Compliance with policies related to Personal Trading, Conflicts of Interest and Outside Activities of employees.

The Conduct Risk Management Office is also responsible for:

- Internal policies and procedures to maintain the Ethical environment in the organization
- Educating employees regarding policy requirements

**Job Description**:
Associate 2 role in the Conduct Risk Management Office Team. Responsibility of this role includes but not limited to conduct risk policy monitoring, resolve employees’ queries related to policy requirements, assist with regular and ad hoc tasks related to policy compliance, assist with management reports, be vigilant of any potential incidents of non-compliance.

Roles and Responsibilities
- Develop a strong understanding of State Street’s Standard of Conduct, State Street Global Advisors Code of Ethics, Global Personal Investment Policy, and other Conduct related policies and requirements
- Develop and demonstrate proficiency with Conduct Risk policies and Star Compliance
- 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
- Ensure that all transactions are executed on a timely manner, and issues are escalated appropriately
- Assist State Street employees, including management, with questions regarding various topics, including the Standard of Conduct or other Conduct Risk Policies.
- Support production of management reporting, including but not limited to data collection, qualitative and / or quantitative analysis, formatting, and quality assurance
- Supervise junior team members
- Proactively interact with and coordinates with global Conduct Risk teams for policy administration
- Perform ad-hoc projects and requests

Success Capabilities
- Mandatory: Effective Communication (Verbal/Written)
- Comfortable interacting with senior leaders.
- Ability to influence.
- Ability to work independently with little direction and take initiative to improve processes or solve problems.
- Good knowledge of Capital Markets
- Industry background (Compliance/Audit etc.)
- Enthusiastic and eager to learn
- Strong analytical and interpersonal skills.

About State Street Corporation:
State Street Corporation is an American financial services and bank holding company headquartered at One Lincoln Street in Boston with operations worldwide. It is the second-oldest continually operating United States bank; its predecessor, Union Bank, was founded in 1792. State Street is ranked 15th on the list of largest banks in the United States by assets. It is one of the largest asset management companies in the world with US$3.9 trillion under management and US$43.3 trillion under custody and administration. It is the largest custodian bank in the world, providing securities services and it is almost considered a systemically important bank by the Financial Stability Board.

The company is ranked 247th on the Fortune 500 as of 2019. The company is on the list of the banks that are too big to fail published by the Financial Stability Board.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.