Job Description

Who are we looking for

We are seeking a candidate with 7 to 8 years of experience in understanding Compliance functions, knowledgeable in financial products, and possessing excellent communication skills (Verbal & Written). The Analyst will primarily work on employee trade surveillance, Conflicts of Interest review, and may support other conduct risk-related tasks. This role is based out of the Bangalore location (RMZ Ecoworld, Bellandur).

Why this role is important to us

The Conduct Risk Management Office (CRMO) team you will be joining plays an important role in the overall success of the organization. CRMO is part of Corporate Compliance and has Second Line of Defense (SLoD) responsibility for the Global Personal Investment Policy, SSGA Code of Ethics, Global Conflicts of Interest Policy, Global Outside Activity Policy, and Standard of Conduct. Across the globe, institutional investors rely on us to help them manage conduct risk, respond to challenges, and drive performance and profitability. 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, Conflicts of Interest Policy, Outside Activity Policy, and other compliance policies.

- Conduct daily surveillance of employees' personal securities transactions to ensure requirements are met, research potential violations, and escalate appropriately.

- Manage multiple email queries received from employees on a daily basis pertaining to personal account dealing requirements, particularly during high email inflow periods.

- Actively participate in bi-weekly employee trade surveillance team calls, highlighting team achievements, deliverables, and key challenges.

- Support on Star Compliance User Acceptance Testing (UAT), enhance and create Standard Operating Procedures as required.

- Collaborate proactively with other compliance teams locally in India and within the Conduct Risk Management Office globally.

- Perform tasks such as broker statement reconciliation and initial holdings certification with attention to detail and accuracy.

What we value

- Good time management skills to prioritize tasks, openness to constructive feedback, and attention to detail.

- Proficiency in Excel, including handling large data sets, and good PowerPoint skills.

- Knowledge of securities markets is desirable.

- Excellent communication skills, both verbal and written.

- Ability to engage with employees and/or clients regularly and ensure accurate processing of various transactions per standard operating procedures.

Education & Preferred Qualifications

- Any full-time degree would be sufficient.

- 7 to 8 years of Compliance experience is preferred.

- Available to work from 12 PM IST to 9 PM IST.

About State Street

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. You can 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. Our development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility

We believe our employees’ diverse backgrounds, experiences, and perspectives contribute to creating an inclusive environment where everyone can thrive. We welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity, and personality. Active engagement with our communities around the world is a fundamental value; we offer tools to help balance professional and personal life, paid volunteer days, matching gift programs, and access to employee networks.

State Street is an equal opportunity and affirmative action employer.

For further information and to apply, please visit our website via the "Apply" button below.