Associate 2 - Investment Compliance
5 days ago
Onboarding 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 system.
- Perform annual review of compliance rules in the matrix by comparing them against updated prospectuses/SAIs.
- Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines
- Liaise with coding team for maintenance of rules in the system to ensure accurate daily and monthly compliance reporting is disseminated to clients.
- Demonstrate in-depth knowledge of Investment compliance to translate client requirements into actionable items for internal teams and work with internal teams. (For example, changes related to how a particular derivative should be treated for Derivative Coverage testing or CFTC Testing or IRC)
- Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed
- Adheres to Standard Operating Procedures and improvises Operating procedures where they do not fall in line with the process
- Ensures timely resolution of issues while keeping management informed of any potential issues.
- Responsible for performing daily processes accurately and in accordance with defined time frames and client requirements. May have daily contact with Client Service, Client Management, COEs and Business Unit (BU) Shared Service teams
- During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.
- Participates on projects or committees within the department and/or with BU Shared Services, COEs and Client Operations teams.
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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
2 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
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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Associate 2 - Investment Compliance
2 days ago
Bengaluru, India State Street Full timeo 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...
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Investment Compliance Specialist
1 week 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
19 hours 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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Investment Compliance Specialist
3 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,...
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Functional Compliance
7 days ago
Bengaluru, Karnataka, India State Street Full timeConduct 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...
