Key Responsibilities
Compliance Rule Setup
- Analyze client requirements, prospectuses, and investment mandates to extract compliance restrictions.
- Liaise with clients to obtain additional information required for rule interpretation and setup.
- Work closely with internal coding teams to translate compliance rules into system-based logic.

Compliance Monitoring & Reviews
- Perform annual reviews of compliance matrices against updated prospectuses/SAIs.
- Support ad-hoc queries from compliance reporting teams to assess portfolio adherence to guidelines.
- Ensure accurate implementation and maintenance of rules for daily and monthly compliance monitoring.

Regulatory Interpretation & Advisory
- Demonstrate robust domain knowledge in investment compliance.
- Interpret complex regulatory requirements and translate them into actionable compliance rules.
- Provide guidance on treatment of instruments (e.g., derivatives) for compliance tests.

Stakeholder Management & Coordination
- Act as a key liaison between clients, counterparts, reporting teams, and business units.




- Collaborate with COEs, Client Service, and Operations teams for seamless delivery.

Risk Management & Process Improvement
- Identify operational risks and recommend procedural improvements.
- Ensure adherence to SOPs while driving enhancements where required.
- Escalate potential compliance issues and ensure timely resolution.

Team & Oversight Responsibilities
- Ensure timely completion of daily deliverables and ad-hoc requests.
- Participate in projects, onboarding initiatives, and process improvement forums.

Required Qualifications & Skills
- Bachelor’s/master’s degree in finance, Accounting, or related field.
- 2–4 years of experience in Investment Compliance / Asset Management.
- Strong knowledge of:
- Investment guidelines (UCITS, ’40 Act, RIA regulations)
- Compliance monitoring systems (e.g., Sentinel/CRD preferred)
- Financial instruments including derivatives
- Proven experience in:
- Rule/P

📌 BU Compliance (Bengaluru)
🏢 State Street
📍 Bengaluru