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State Street brand and Bangalore metro increase applicant density despite specialized investment-compliance skill requirements.
Role requires SEC/prospectus and fund-specific compliance expertise, limiting cross-industry transferability.
Explicit 4+ years requirement plus mandatory investment compliance monitoring and coding experience makes filters strict.
Own onboarding process for new investment compliance clients by understanding and interpreting prospectus/mandates to create compliance rule matrices.
Perform annual reviews and update compliance rule matrices based on prospectus/SAI revisions and liaise with coding teams to ensure accurate compliance reporting.
Analyze investment guidelines and resolve compliance queries to ensure portfolios align with SEC regulations and investment mandates.
Minimum 4+ years experience in Fund Administration or related investment compliance roles (mandatory).
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS compliance frameworks.
University degree in Business with focus on Accounting, Finance or related financial programs.
Experience in investment compliance monitoring or coding, with proficiency in Alteryx workflows and SQL.
Experienced in pre- or post-trade investment compliance and regulatory interpretation to translate client requirements into actionable compliance rules.
Ability to manage cross-functional liaison between clients, compliance, and coding teams for maintaining accurate compliance systems.
Candidates pursuing FRM, CFA, or CISI certifications preferred, indicating strategic understanding of financial risk and investment compliance.