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Conduct Risk - Emerging Lead

4.00 to 9.00 Years   Bangalore   11 Oct, 2021
State Street Corporation
Job LocationBangalore
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaGeneral / Other Software
EmploymentTypeFull-time

Job Description

Conduct Risk Office:The Conduct Risk Office plays an important role in protecting State Street s reputation. The Conduct Risk Office in a key partner in managing all types of conflicts between the company, employees and clients. The role of Conduct Risk Officer is required by legislation which governs the activities of investment advisors. As per the regulatory (such as FINRA/SEC/CBI/FCPA, etc.,) requirement the Conduct Risk office is responsible for monitoring Personal Trading, Gifts and Entertainment, Conflicts of Interest and Political Activity & Contribution of employees.The Conduct Risk Office is also responsible for:

  • Internal policies and procedures to maintain the Ethical environment in the organization
  • Educating employees regarding policy requirements
Key Responsibilities & Experience Range
  • Experience: 4 6 years (Relevant experience in monitoring and surveillance)
  • Develop a strong understanding of State Street s Standard of Conduct, State Street Global Advisors Code of Ethics, Global Personal Investment Policy, and other Conduct related policies and requirements
  • Develop and demonstrate proficiency with Conduct Risk policies and Star Compliance
  • Ensure accurate processing of different types of transactions (such as review of personal trading transaction alerts, review of employee requests, administration of the systems etc) in accordance with standard operating procedures
  • Ensure that all transactions are executed on a timely manner, and issues are escalated appropriately
  • Assist State Street employees, including management, with questions regarding various topics, including the Standard of Conduct or other Conduct Risk Policies.
  • Support production of management reporting, including but not limited to data collection, qualitative and / or quantitative analysis, formatting, and quality assurance
Interface:Reasonable interaction with internal stakeholdersQualification & Certifications:Any graduate/PostgraduateInvestment Banking background preferredPrimary Skills (Must Have):Domain ExpertiseHands on knowledge on monitoring and surveillanceAdapting and Responding to ChangeAdapts to changing circumstances; tolerates ambiguity; accepts new ideas and change initiatives; adapts interpersonal style to suit different people or situations; shows an interest in new experiences.Compliance Risk IdentificationIdentification of risk and controls within business processes and applicable regulations.Knowledge of Business OperationsPossesses an intimacy and familiarity with the business to fully meet the company s needs and serve its best interests.Secondary Skills (Good to Have):Regulatory Environment AnalysisApplication of knowledge of regulatory environment to the benefit of the firm (building awareness, highlighting potential issues).Delivering Results and Meeting Customer ExpectationsFocuses on customer needs and satisfaction; sets high standards for quality and quantity; monitors and maintains quality and productivity; works in a systematic, methodical, and orderly way; consistently achieves project goals.,

Keyskills :
code of ethicsdata collectioninvestment policychange initiativesmanagement reportingquantitative analysislegislative relations

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