Investment Compliance Monitoring, Senior Associate
State Street Corporation
Bangalore, India
28d ago
  • Supervises the daily and monthly activities of the Investment Compliance Monitoring staff.
  • Manages the day-to-day activities and controls to ensure daily deliverables are met and that daily work is performed accurately.
  • Ensures Standard Operating Procedures are being followed.
  • Manages and facilitates timely resolution of issues.
  • Keep management informed of any potential issues
  • Keeps abreast of regulatory compliance and developments for the assigned area and apprises staff as necessary.
  • Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed
  • Provides immediate supervision to a group, assigning tasks and checking work at regular intervals. A portion of the time is normally spent performing individual tasks related to the unit
  • Participates on projects or committees within the department and / or with BU Shared Services, COEs and Client Operations teams.
  • During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and / or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.
  • Conducts periodic performance reviews; provides ongoing counsel, training, development and motivation of staff.
  • Participates in the hiring, salary, promotional and termination recommendation process
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