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Functional Compliance - Manager

9.00 to 12.00 Years   Bangalore   01 Aug, 2021
State Street Corporation
Job LocationBangalore
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaOperations Management / Process Analysis
EmploymentTypeFull-time

Job Description

Ethics Office:The Ethics Office plays an important role in protecting State Street s reputation. The Ethics Office in a key partner in managing all types of conflicts between the company, employees and clients. The role of Ethics 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 ethics office is responsible for monitoring Personal Trading, Gifts and Entertainment, Conflicts of Interest and Political Activity & Contribution of employees.The Ethics 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 RangeExperience: 9 12 years (Relevant experience in monitoring and surveillance)Develop a strong understanding of State Street s Standard of Conduct, Code of Ethics and other Ethics related policies and requirementsDevelop and demonstrate proficiency with Ethics policy and Star Compliance ToolMaintain and continuously develop knowledge around core product, financial markets and technologyExecute the accurate processing of different types of transactions (such as exception transactions where employee s personal trades exception monitoring, gifts and entertainment approvals, Outside Activities, administration of the systems etc.) in accordance with standard operating proceduresSupport production of management reporting, including but not limited to data collection, qualitative and / or quantitative analysis, formatting and quality assuranceProactively interact and coordinates with global Ethics teams for policy administrationInterface:Reasonable interaction with internal stakeholdersQualification & Certifications:Any graduate/PostgraduateInvestment Banking background preferredPrimary Skills (Must Have):Domain ExpertiseHands on knowledge on monitoring and surveillancePlanning and OrganizingSets clearly defined objectives; plans activities and projects well in advance and takes account of possible changing circumstances; identifies and organizes resources needed to accomplish tasks; manages time effectively; monitors performance against deadlines and milestones.Adapting 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.Leading and SupervisingProvides others with a clear direction; motivates and empowers others; provides team with development opportunities and coaching; sets appropriate standards of behavior.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 collectionfinancial marketschange initiativesmanagement reportingquantitative analysislegislative relationsriskgiftsethicsbankingtradingbusinessanalysiscoachingreportingapprovals

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