Finance , Senior Associate Finance , Senior Associate …

State Street Corporation
in Bangalore, Karnataka, India
Permanent, Full time
Be the first to apply
Competitive
State Street Corporation
in Bangalore, Karnataka, India
Permanent, Full time
Be the first to apply
Competitive
State Street Corporation
Finance , Senior Associate
This role is within the Compliance team to manage the compliance advisory and risk management services within State Street Global Advisors.
Key Responsibilities:
  • Coordinate and support the global regulatory change management process for APAC. Assess regulatory and business impact of such regulatory updates/changes. Collaborate with other teams and regions on regulatory change management and prepare bulletin, reports for APAC
  • Support the licensing requirements, maintenance and training for employees in HK
  • Assist in providing compliance advice on general regulatory matters such as cross-border selling restrictions for APAC. Review tailor-made retail fund marketing materials for distribution in APAC
  • Participation in internal committees and working group meetings. Prepare quarterly reporting documents for submission to internal working group and board meetings.
  • Assist in interacting with internal audit (e.g. meetings) for audit on Compliance function or other functions that will require Compliance input as well.
  • Facilitate compliance team to respond to enquiries from local regulator from time to time for matters pertaining to the SSGA SFC-authorized funds and firm's view on prevailing industry-wide issue. Coordinate with internal SMEs to gather the relevant information to address the regulatory request
  • Assist in preparing notification to the regulator for identified non-compliance issues and convey regulatory feedbacks to the internal senior management and SMEs.
  • Assist in responding to RFPs, global requests regarding risk assessment, CRMT, etc.
Basic Qualifications/ Skills:
  • Graduate or Post Graduate
  • Minimum of 3 to 5 years of work experience in financial industry
  • Experience in Asset Management Legal & Compliance functions is preferable
  • Inquisitive with experience in innovation, collaboration and a fast learner
  • Has a risk mindset
  • Strong verbal and written communication skills
  • Self-starter, ability to work both independently and collaboratively, Team player
  • Strong sense of ethics and personal integrity
  • Attention to detail
  • Flexible to work in different shifts
Company Overview

From technology and product innovation to corporate responsibility and community development, 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 - strengthening markets, building communities and creating opportunities for growth.

We owe that longevity to the commitment, expertise and creativity of our employees. Our continued success depends on our ability to attract and develop the best talent in the industry. That's why we're keenly focused on employee development, corporate citizenship and inclusion.

For us, success comes in the mark we make as an organization - for the industry, our clients, our communities and each other.

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