Who We Are Looking For

We are seeking a Compliance Associate to join our second line of defense team, reporting directly to a Supervisor or Manager. The role involves collaborating with a group of professionals to develop and implement conduct risk policy monitoring, resolve employee queries related to policy requirements, support regular and ad-hoc tasks associated with policy administration, assist with management reporting, and remain vigilant regarding potential incidents of non-compliance.

This position is ideal for individuals who are eager to learn and grow within the compliance department. It offers a valuable opportunity to establish a professional foundation in the compliance field. Candidates with a genuine passion for compliance will find this role to be a meaningful steppingstone toward building expertise in the discipline.

The Compliance Associate role is based in Bangalore, India. The position follows a hybrid work model, providing flexibility between remote and in-office work, with a four-day work from office. Working hours are from 12:00 PM to 9:00 PM, designed to meet team needs and support global compliance operations.

Why This Role Is Important to Us

The Conduct Risk Management Office (CRMO) team plays a crucial role in the success of the organization. As part of Corporate Compliance, CRMO has second line of defense responsibilities for the Global Personal Investment Policy, State Street Investment Management Code of Ethics, Global Conflicts of Interest Policy, Global Outside Activity Policy, and the Standard of Conduct. Institutional investors around the world rely on us to manage conduct risk, respond to challenges, and drive performance and profitability. To achieve this, we need teams who help guide employees and the organization as a whole. In this role, you will pursue innovative solutions that are both straightforward and scalable, helping us build resilience and execute day-to-day responsibilities at the highest standard. Join us if you are ready for the challenge of making your mark in the financial services industry from day one.

The Conduct Risk Management Office is also responsible for internal policies and procedures to maintain an ethical environment within the organization and for educating employees on policy requirements.

Key Responsibilities

• Develop a thorough understanding of State Street’s key compliance policies, including the Standard of Conduct, State Street Investment Management Code of Ethics, and Global Personal Investment Policy.
• Demonstrate proficiency in compliance requirements related to personal investments.
• Monitor and resolve alerts generated from employee trade approvals and transactions in accordance with standard operating procedures.
• Support User Acceptance Testing (UAT) for compliance systems, enhance existing procedures, and create new ones as necessary.
• Ensure all discrepancies are escalated promptly and appropriately.
• Prioritize tasks, pay close attention to detail, and address employee queries regarding personal investments and compliance.
• Assist employees and management with questions concerning conduct risk policies.
• Support management reporting through data collection, analysis, formatting, and quality assurance.
• Perform ad-hoc projects and respond to special requests as needed.

Desired Skills and Qualifications

• Strong knowledge of secondary markets and financial products.
• Excellent oral and written communication skills for handling daily employee queries via email and phone.
• Ability to work independently, manage multiple evolving priorities, and demonstrate initiative and adaptability.
• Collaborative mindset for effective engagement with State Street employees.
• Strong attention to detail and prioritization abilities.
• Quick learning skills in dynamic environments.
• Bachelor’s degree or equivalent, with 6–12 months of relevant experience in compliance personal account dealing.
• Proficiency in MS Office tools, including Excel, Word, PowerPoint, and Outlook.

About State Street

What We Do

State Street is one of the world’s largest custodian banks, asset managers, and asset intelligence companies. From technology to product innovation, we are making a significant impact in the financial services industry. For more than two centuries, we have helped clients safeguard and steward the investments of millions of people. We provide investment servicing, data and analytics, investment research and trading, and investment management to institutional clients.

Work, Live and Grow

We strive to create an excellent work environment and offer competitive and comprehensive benefits packages. While details vary by location, you can expect generous medical care, insurance, and savings plans among other perks. Flexible Work Programs are available to accommodate your needs, and a wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility

We believe that the diverse backgrounds, experiences, and perspectives of our employees are essential to fostering an inclusive environment where everyone can thrive and achieve their maximum potential while adding value to both our organization and our clients. We welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity, and personality. State Street is also committed to active engagement with communities worldwide, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs, and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

Discover more at StateStreet.com/careers

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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