BU Compliance - Senior Associate

State Street — Bangalore, India

Key Responsibilities Compliance Rule Setup Analyze client requirements, prospectuses, and investment mandates to extract compliance restrictions. Liaise with clients to obtain additional information required for rule interpretation and setup. Work closely with internal coding teams to translate compliance rules into system-based logic. Compliance Monitoring & Reviews Perform annual reviews of compliance matrices against updated prospectuses/SAIs. Support ad-hoc queries from compliance reporting teams to assess portfolio adherence to guidelines. Ensure accurate implementation and maintenance of rules for daily and monthly compliance monitoring. Regulatory Interpretation & Advisory Demonstrate strong domain knowledge in investment compliance. Interpret complex regulatory requirements and translate them into actionable compliance rules. Provide guidance on treatment of instruments (e.g., derivatives) for compliance tests. Stakeholder Management & Coordination Act as a key liaison between clients, counterparts, reporting teams, and business units. Collaborate with COEs, Client Service, and Operations teams for seamless delivery. Risk Management & Process Improvement Identify operational risks and recommend procedural improvements. Ensure adherence to SOPs while driving enhancements where required. Escalate potential compliance issues and ensure timely resolution. Team & Oversight Responsibilities Ensure timely completion of daily deliverables and ad-hoc requests. Participate in projects, onboarding initiatives, and process improvement forums. Required Qualifications & Skills Bachelor’s/master’s degree in finance, Accounting, or related field. 2–4 years of experience in Investment Compliance / Asset Management . Strong knowledge of: Investment guidelines (UCITS, ’40 Act, RIA regulations) Compliance monitoring systems (e.g., Sentinel/CRD preferred) Financial instruments including derivatives Proven experience in: Rule/Prospectus interpretation Strong analytical and proble

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