Functional Compliance, Senior Associate

2 months ago

Bengaluru, India State Street Full time

Conduct Risk Compliance – Senior Associate, Hybrid Work Arrangement

Who are we looking for

Candidate having 1 to 3 years of experience with understanding on Compliance functions, knowledge of financial products and excellent communication skills (Verbal & Written). Analyst will be primarily working with employee trade surveillance team and may support the other conduct risk teams including Conflicts of Interest. Hybrid work arrangement provided to support the work life balance. This role is based out of the Bangalore location (RMZ Eco world, Bellandur).

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 profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible for

Good understanding of State Street’s Standard of Conduct, State Street Global Advisors Code of Ethics, Global Personal Investment Policy, and other Conduct Risk compliance policies. Daily Surveillance of employees personal securities transactions to ensure requirements are met, escalate the potential violations are researched and escalated appropriately. Handles multiple email queries received from the employees on a daily basis pertaining to the personal account dealing requirements. During certain time the email inflow may increase. Analyst is expected to absorb the additional workload at this point, coordinate with management to re-prioritize work as needed and remain focused and be a good team player. Active participation required on the bi-weekly employee trade surveillance team calls highlighting the Team achievements/deliverables and key challenges observed etc. Support on Star Compliance User acceptance testing (UAT), enhancing the existing ‘Standard Operating Procedures’ and creating the new ones when required. Proactive mindset to actively collaborate with other compliance teams locally in India and functionally within Conduct Risk Management Office globally is desired. Few tasks that include but not limited to broker statement reconciliation, initial holdings certification etc. may involve manual repetitive tasks. Detail attention to these tasks with accuracy is expected.

What we value

These skills will help you succeed in this role

Good time management skills to prioritize and re-prioritize tasks, open minded to accept feedback from senior compliance team members in a constructive way and attention to detail will fit and succeed in this role. Good Excel skillset that includes queries dealing with large data sets and power point skills will be crucial. Knowledge of securities markets is desirable. Good communication skills including written communication are critical for this role. Engaging with employees and or clients on a regular basis 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

Education & Preferred Qualifications

Any full time degree would suffice 1 to 3 years of Compliance experience will be preferred Available to work (12 PM IST to 9 PM IST)

Are you the right candidate? Yes

We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don’t necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.

About State Street

What we do . State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow . We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility . We truly believe our employees’ diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

  • Functional Compliance

    1 month ago

    Bengaluru, India State Street Full time

    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...

  • Functional Compliance

    1 month ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance – Senior Associate,Hybrid Work Arrangement Who are we looking forCandidate having 1 to 3 years of experience with understanding on Compliance functions, knowledge of financial products and excellent communication skills (Verbal & Written). Analyst will be primarily working with Conflict of Interest team and may support the other...

  • Associate Compliance Manage

    1 month ago

    Bengaluru, India neoworks technology llp Full time

    Roles & Responsibilities **Compliance monitoring and reporting: The Associate Compliance Officer is responsible for monitoring compliance with applicable laws, regulations, and internal policies and procedures. This may involve reviewing transactions, conducting risk assessments, and preparing reports for senior management. ** Compliance training and...

  • Functional Compliance

    4 weeks ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance – Senior Associate,Hybrid Work Arrangement Who are we looking forCandidate having 1 to 3 years of experience with understanding on Compliance functions, knowledge of financial products and excellent communication skills (Verbal & Written). Analyst will be primarily working with employee trade surveillance team and may support the...

  • Functional Compliance

    3 weeks ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance – Senior Associate,Hybrid Work Arrangement Who are we looking for Candidate having 1 to 3 years of experience with understanding on Compliance functions, knowledge of financial products, and excellent communication skills (Verbal & Written). Analyst will be primarily working with employee trade surveillance team and may support the...

  • Functional Compliance

    1 month ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct 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...

  • Associate 2- Functional Compliance

    1 month ago

    Bengaluru, India State Street Full time

    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...

  • Functional Compliance

    5 days ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance – Senior Associate,Hybrid Work Arrangement Who are we looking forCandidate having 4 to 6 years of experience with understanding on Compliance functions, knowledge of financial products and excellent communication skills (Verbal & Written). Analyst will be primarily working with Conflicts of Interest team and may support the other...

  • Functional Compliance

    1 month ago

    Bengaluru, India State Street Full time

    Conduct Risk Compliance – Associate 2 - Hybrid Work Arrangement Who are we looking for Candidate having 1 to 3 years of experience with understanding on Compliance functions, knowledge of financial products and excellent communication skills (Verbal & Written). Analyst will be primarily working with employee trade surveillance team and may support...

  • Compliance, Conduct, Operational Risk

    2 weeks ago

    Bengaluru, India JPMorgan Chase & Co. Full time

    As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and...

  • Functional Compliance

    1 month ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance – Associate 2 -Hybrid Work Arrangement Who are we looking forCandidate having 1 to 3 years of experience with understanding on Compliance functions, knowledge of financial products and excellent communication skills (Verbal & Written). Analyst will be primarily working with employee trade surveillance team and may support the other...

  • Compliance Associate

    2 weeks ago

    Bengaluru, India Wells Fargo Full time

    **About this role**: Wells Fargo is seeking a Compliance Associate. **In this role, you will**: - Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements - Oversee the Front Line's execution and challenges appropriately on compliance related...

  • Legal and Compliance Associate

    4 weeks ago

    Bengaluru, India True Beacon Full time

    In this role you will be reporting to the Senior Compliance Associate of Legal and Compliance of True Beacon. - KYC management of the Company including reviewing of records, documents etc. - Identifying gaps and conducting timely assessment of the KYC process prescribed by SEBI, RBI or any other authorities - Establish internal controls and processes on KYC...

  • Functional Compliance

    4 weeks ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance – Associate 2,Hybrid Work Arrangement Who are we looking forCandidate having 1 to 3 years of experience with understanding on Compliance functions, knowledge of financial products and excellent communication skills (Verbal & Written). Analyst will be primarily working with employee trade surveillance team and may support the other...

  • Functional Compliance

    5 days ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance –Associate, Hybrid Work Arrangement Who are we looking for Candidate having 0 to 1 year of experience with decent communication skills (Verbal & Written). Analyst will be primarily working with employee trade surveillance team and may support the other conduct risk teams including Conflicts of Interest. Hybrid work arrangement...

  • Compliance Associate

    17 hours ago

    Bengaluru, Karnataka, India Novo Nordisk Full time

    Compliance Associate **Category**:Legal, Compliance & Audit**Location**:Bangalore, Karnataka, IN**Department**:Compliance- **The position** - As a Compliance Associate at Novo Nordisk, you will be responsible for implementing the Global and IO (International Operations) Business Ethics Compliance plan, policies, and procedures. This includes managing and...

  • Senior Compliance Associate

    5 days ago

    Bengaluru, India slice Full time

    Job DescriptionAbout the roleThe Senior Compliance Associate will be responsible for supporting the Head of Cyber Security and Compliance in planning and coordinating the implementation of compliance requirements such as ISO 27001, PCI DSS, RBI master directions, and Vendor Security assessments. The ideal candidate is a motivated individual who has...

  • Associate Compliance

    2 weeks ago

    Bengaluru, India Corporation Service Company Full time

    Title: Associate KYC process  Department : CoE Operations Location : Bangalore, India Vacancy : Permanent KYC Associate will be part of the Central AML/KYC team, providing support in performing AML/KYC analysis, client outreach, screening, CDD for client entities, participants, shareholders, and other relevant parties. Your...

  • Quality and Compliance Associate

    2 days ago

    Bengaluru, Karnataka, India Julia Computing Full time

    JuliaHub's mission is to develop products that bring Julia's superpowers to its customers. JuliaHub's flagship product is JuliaHub, a secure, cloud based, software-as-a-service platform for developing Julia programs, deploying them, and scaling to thousands of nodes. JuliaHub was founded in 2015 by the creators of the Julia programming language for...

  • Functional Compliance

    5 days ago

    Bengaluru, Karnataka, India State Street Full time

    Conduct Risk Compliance Associate - Hybrid Work Arrangement Who we are searching for We are looking for a candidate with 0 to 1 year of experience and good communication skills (Verbal &Written). The analyst will primarily work with the employee trade surveillance team and may also support other conduct risk teams including Conflicts of Interest. A hybrid...