Functional Job Title: Emerging Lead – Investment Oversight

Job Title: Sr. Associate

Department/ Division: Investment Management

Basic Purpose of Job:

To perform various Investment Compliance tasks in support of SSgA portfolios managed in North America, Europe and Asia Pacific.

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 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 performing daily BAU 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:

• Strong sense of ethics and personal integrity.
• Strong analytical approach and demonstrated problem-solving skills.
• Ability to actively communicate concerns.
• Attention to detail.
• Broad knowledge of different financial products and investment strategies
• Ability to collaborate with other teams including Marketing, Portfolio Managers and Engineers, Operations, Client Services.
• Excellent organizational skills.
• Ability to work in conditions involving time and resource constraints.

Job requirements:

• At least 5-6 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 or other Investment Compliance applications will be an added advantage
• Equivalent to a Bachelor’s or Master’s degree in Business, Finance, Engineering, or related.
• Proficient knowledge of Word, Excel and similar applications.

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