State Street - Team Lead - Investment Oversight

Team Description:

Investment Oversight team is involved in Portfolio Compliance, surveillance and monitoring activities. The team is responsible for interpretation and coding of investment guidelines (client and regulatory) in compliance monitoring systems; daily post trade monitoring and incident management of investment restrictions.

Key Responsibilities:

- Assist regional SSGA offices in North America, Europe, and Asia Pacific by performing various Investment Oversight tasks associated with the review of Sentinel/Charles River rule coding to ensure adherence to global investment industry regulations, as well as internal firm guidelines.

- Serve as a resource with various departments to communicate compliance requirements, and keep up to date with firm and industry regulations and guidelines regarding trade compliance

- Responsible for daily work allocation and ensure timely sign-offs to external parties/global counterparts.

- Coordinate with relevant SSGA groups that are subject matter experts for the topics included in the client requests, and proactively manage the follow-up and escalation to ensure timely completion of tasks or projects.

- Collaborate with the global Compliance and Business departments to evaluate current processes, identify areas for improvement, and suggest and implement solutions.

- Take part in various calls with global partners to discuss process metrics, improvements and issues related to accuracy.

- To assist in getting new work types smoothly transitioned to Bangalore team

Key Skills / Attributes:

- In addition to having expertise in guidelines interpretation, coding and monitoring, the role requires proficiency in working with multiple compliance monitoring platforms like Sentinel, Charles River and Bloomberg, and be well-versed with regulatory guidelines (UCITS, 40-Act).

- Strong sense of ethics and personal integrity.

- Ability to actively communicate concerns.

- Attention to detail.

- Broad knowledge of different financial products and investment strategies

- Ability to collaborate with other teams including Portfolio Managers, Relationship Managers, Operations, Client Services.

- Excellent organizational skills.

- Ability to work in conditions involving time and resource constraints.

Job requirements:

- At least 4-6 years of experience in the financial services industry. Previous experience of working within Asset management / Investment Compliance industry is strongly preferred

- Experience in Sentinel / Charles River / Aladdin or other Investment Compliance applications a must

- Equivalent to a Bachelor's or Master's degree in Business, Finance, Engineering, or related.

- Proficient knowledge of Word, Excel and similar applications.