Investment Oversight - Team Lead
State Street Corporation (company site, opens in a new tab)BengaluruOn-siteDirect career pageEst. 20–35 LPA
Posted 9h ago
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Job description
Structured overview of role & requirements
About This Role
- Interpret and review investment guidelines, client mandates, and regulatory documents to ensure accurate compliance monitoring.
- Oversee new account setups and rule maintenance to ensure precise implementation of investment restrictions and guidelines.
- Analyze compliance breaches and trends to recommend and drive process improvements and automation initiatives within compliance monitoring systems.
Minimum Requirements
- Experience required with investment compliance monitoring platforms such as Sentinel, Charles River, Aladdin, Bloomberg AIM, or similar.
- Strong understanding of investment compliance, portfolio guidelines, and regulatory requirements including interpretation of IMAs and prospectuses.
- Proficiency in data analysis and Microsoft Excel, with strong analytical and problem-solving skills.
- Work Experience Required: Not explicitly mentioned in the JD.
Ideal Candidate Profile
- Experienced in managing compliance monitoring rules and workflows in a global financial/institutional asset management environment.
- Capable of driving process improvements and automation in compliance functions with strong stakeholder management skills.
- Knowledgeable about regulatory frameworks such as ERISA, 40 Act, UCITS, and familiar with institutional asset management or mutual fund compliance.