Associate 2 - Investment Compliance Analyst
Current
Bengaluru, Karnataka, India
- As an Investment Compliance Analyst at State Street, I ensured regulatory compliance and adherence to investment guidelines for clients in the financial sector, including adherence to the Investment Company Act of 1940.
- Onboarding New clients for Investment compliance involved understanding their needs and investment goals and extracting compliance rules. Hence, created a compliance rules matrix as per the guidelines
- Performed comprehensive daily and monthly compliance tasks using dashboard tools, including alert monitoring, identifying suspicious transactions, accurate NAV calculations, and issuing breach reports. Promptly.
- Collaborated with the Data team to address discrepancies in data load sourced from platforms like Bloomberg and MCH, tracking issues through JIRA until resolution
- Performed daily portfolio transaction reviews to monitor compliance with investment restrictions. Identified breaches and collaborated with relevant parties for swift rectification
- Leveraged one year of specialized knowledge in the Charles River (CRD) platform to optimize post-trade compliance and asset management, driving efficiency and accuracy in day-to-day operations