Investment Oversight-Team Lead

ConfidentialBengaluru / Bangalore, India

5 days ago

Job description

Review and interpret governing documents such as prospectuses, supplements and investment management agreements; identify and resolve interpretive issues; and review investment restrictions

Review account extraction / modification forms and system-coding performed by a team of analysts to ensure accuracy

Manage new account set-up and rule maintenance process to ensure new accounts and updates to guidelines are accurately completed and reviewed according to procedure

Monitor new account / amendment onboarding process to ensure that appropriate reviews and signoffs are timely obtained

Develop, test, and implement automated rules with the monitoring systems and manual monitoring procedures for non-automated rules to ensure accuracy of all account guidelines, instructions, and mandates

Review post-trade incidents to identify compliance breaches

Analyze compliance breach trends, identify root causes, and resolve potential systemic issues, including recommending process design improvements and operational efficiencies

Develop or enhance policies and procedures related to investment compliance processes, with a focus on establishing globally consistent best practices

Work with IT, data, and system vendors to identify ways to further enhance automation and testing within the compliance systems

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you'll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

Discover more information on jobs at StateStreet.com / careers

Read our CEO Statement

Job ID : R-778203

Skills Required

system-coding, automated rules, account extraction modification forms, compliance breaches, process design improvements, monitoring systems, operational efficiencies, investment management agreements

Create a job alert for this search

Investment Lead • Bengaluru / Bangalore, India