Job Description

Who are we looking for

We are seeking a candidate with 6 to 7 years of experience in compliance functions, comprehensive knowledge of financial products, and excellent verbal and written communication skills. 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 our Bangalore location (RMZ Eco World, Bellandur).

Why this role is important to us

The Conduct Risk Management Office (CRMO) team you will be joining plays an essential role in the overall success of the organization. CRMO is part of Corporate Compliance and holds Second Line of Defense (SLoD) responsibility for Global Personal Investment Policy, SSGA Code of Ethics, Global Conflicts of Interest Policy, Global Outside Activity Policy, and Standard of Conduct. Institutional investors worldwide rely on us to help manage conduct risk, respond to challenges, and drive performance and profitability. To achieve this, we need teams to assist in navigating the organization and its employees, striving for cutting-edge, straightforward, and scalable solutions. Join us if making your mark in the financial services industry from day one is a challenge you are ready for.

What you will be responsible for

- Understand 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.

- Monitor the risk that arises from employees’ trades via their brokerage accounts, private investments, outside business activities, etc.

- Daily Surveillance of employees’ personal securities transactions to ensure requirements are met and potential violations are escalated and researched appropriately.

- Handle multiple email queries from employees regarding personal account dealing requirements, absorbing additional workload as necessary, coordinating with management to re-prioritize work, remaining focused, and being a good team player.

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

- Support Star Compliance User acceptance testing (UAT), enhance existing ‘Standard Operating Procedures,’ and create new ones when required.

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

- Handle tasks such as broker statement reconciliation and initial holdings certification with detailed attention and accuracy.

What we value

These skills will help you succeed in this role:

- Good time management skills to prioritize and re-prioritize tasks.

- Open-mindedness to accept constructive feedback from senior compliance team members.

- Attention to detail.

- Proficient Excel skills, including dealing with large data sets, and PowerPoint skills.

- Knowledge of securities markets.

- Strong communication skills, including written communication.

- Engage with employees and/or clients regularly.

- Ensure accurate processing of different types of transactions (e.g., personal trading transaction alerts, review of employee requests, administration of systems) in accordance with standard operating procedures.

Education & Preferred Qualifications

- Any full-time degree.

- 6 to 7 years of Compliance experience.

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

About State Street

What we do:

State Street is one of the largest custodian banks, asset managers, and asset intelligence companies globally. For more than two centuries, we’ve helped clients safeguard and steward investments for millions of people, providing investment servicing, data & analytics, investment research & trading, and investment management to institutional clients.

Work, Live and Grow:

We strive to create a great work environment. Our benefits packages are competitive and comprehensive, with variations by location including generous medical care, insurance, and savings plans. You'll have access to flexible Work Programs and development programs that support reaching your full potential.

Inclusion, Diversity, and Social Responsibility:

We believe in the power of diverse backgrounds and experiences and encourage applicants of all origins, backgrounds, abilities, ages, sexual orientations, gender identities, and personalities to apply. Our commitment extends to active community engagement and providing tools to balance professional and personal life, including paid volunteer days and matching gift programs.

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.