State Street - Manager/Senior Manager - Investment Compliance

Company Overview

State Street Corporation (NYSE: STT) is the world's leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $28.40 trillion in assets under custody and administration and $2.48 trillion in assets under management as of June 30, 2014, State Street operates globally in more than 100 geographic markets and employs 29,420 worldwide. For more information, visit State Street's website at www.statestreet.com.

Promoting a culture of excellence

With more than 29,420 employees across 29 countries, at State Street, our people are our greatest asset. We recognize that highly skilled, engaged and productive employees are essential to our success. Our company values reflect our commitment to employee engagement, Global Inclusion and corporate social responsibility - to help you build a fulfilling career. Around the world, we aim to be an employer of choice by offering competitive compensation and benefits, personal and professional development opportunities, and a work environment that promotes a diverse array of people, ideas and skills. We're a company that insists on, and rewards, performance excellence. We know our success hinges on attracting the best people to join us - people like you.

State Street supports flexible work arrangements where determined feasible, consistent with business and operational needs. Subject to an individualized assessment of these considerations, roles may be identified as potentially suited for a flexible work arrangement. Requests for a flexible work arrangement can be made upon hire. All employees at State Street have the ability to request flexible work arrangements, with the final decision based solely on business discretion and subject to management approval. More information is available here. We encourage you to explore the possibilities that a career at State Street can offer you.

State Street is an Equal Opportunity Employer, and prohibits discrimination against applicants or employees on the basis of any legally protected characteristic.

Job Description: Investment Compliance Monitoring, Officer (Manager / Senior Manager)

Job Summary & Duties

- Supervises the preparation of daily and monthly investment compliance results.

- Manages the day-to-day activities and controls to ensure daily deliverables are met.

- Responsible for reviewing staff level work, as needed.

- Manages and facilitates timely resolution of issues.

- Keep management abreast of any potential issues.

- Proposes and works to implement workflow changes and supporting technical solutions leading to improved productivity and profitability.

- Keeps abreast of regulatory compliance and developments for the assigned area and apprises staff as necessary.

- Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed

- Uses quality service measurement tools to ensure compliance with operational standards with SLAs and SOPs and create management reporting as needed

- Participates on projects or committees within the department and/or with BU Shared Services, COEs and Client Operations 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.

- Conducts periodic performance reviews; provides ongoing counsel, training, development and motivation of staff.

- Participates in the hiring, salary, promotional and termination recommendation process

Qualifications

- University degree in Business majoring in Accounting, Finance, or another Financial-related program. Inter C.A. / Inter ICWAI or CFA (pursuing)will be preferred

- Prior relevant work experience of 9+ years including prior investment compliance monitoring experience.

- Ability to analyze investment guidelines and policies to determine testing requirements.

- Highly proficient with Microsoft Office Products (Excel, Word)

- Demonstrated managerial, leadership and decision making abilities

- Excellent communication, organization, interpersonal planning, and analytical skills

- Ability to effectively bring individuals from multiple areas together to resolve identified issues.

- Location: Bangalore - multiple shifts available