Investment Compliance Senior Associate

About the role

State Street Global Advisors' Investment Compliance team ensures mutual fund clients meet SEC and prospectus guidelines. The Senior Associate builds and maintains compliance rule matrices, conducts annual reviews, and collaborates with clients and internal coding teams to deliver accurate daily and monthly compliance reporting. Based in Bangalore, on-site work model, the role involves risk analysis, client onboarding, and escalation of suspicious transactions.

What you’ll do

• Onboard new investment compliance clients and create rule matrices
• Extract and code compliance restrictions from prospectuses and mandates
• Perform annual compliance rule reviews against updated documents
• Research ad-hoc compliance queries and support reporting
• Coordinate with coding team for system maintenance and reporting
• Identify operational risks and recommend procedural improvements
• Escalate unusual or suspicious transaction activity per policy
• Participate in cross‑functional projects and committees

What you’ll bring

• 4+ years fund administration or related experience
• Investment compliance monitoring or coding experience
• Knowledge of U.S. Investment Companies Act or UCITS
• Proficiency with Alteryx workflows
• SQL knowledge
• Strong communication and analytical skills
• Experience in financial services or capital markets
• Familiarity with VBA or Charles River Development

Skills

Education

University degree in Business, Accounting or Finance