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Associate - Investment Compliance

11.00 to 13.00 Years   Bangalore   12 Oct, 2022
State Street Corporation
Job LocationBangalore
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / TaxGeneral / Other Software
EmploymentTypeFull-time

Job Description

    Need to have In depth knowledge of regulatory requirements including Investment Company Act of 1940, Internal Revenue Code, UCITS, 2a-7, etc.o Preferred experience with and understanding of one or many regulatory body requirements not limited to SEC, IRS, Commodity Futures Trading Commission (CFTC), Undertakings for Collective Investment in Transferable Securities (UCITS), Committee of European Securities Regulators (CESR)o Ability to understand and decipher Prospectus, Statement of Additional Information (SAI), Investment Policies, Practices and Procedures, and other client restrictions and translate all requirementso Experience required in post trade investment compliance systems defining logic-based rules and workflow processeso Knowledge of all type of investments, including domestic and international securities, equities, fixed income, derivatives, securities holding other constituents or others such as mutual funds, index securities, and other complex securities (Capital Markets)o Excel skills is a plus (formulas, pivot tables)o A background in compliance / regulatory monitoring or financial technology preferredo Project management skills (organized, self-motivated and deadline oriented)o Ability to build and maintain positive relationships with all levels of management internally within the organization,

Keyskills :
content managementcustomer relationspresentation skillsrecord keeping

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