JOB DESCRIPTION

Marketing and Distribution Compliance - Assistant Manager

Location: Bengaluru (Bangalore), India

Time Type: Full time

Work Model: Hybrid (12PM - 9PM IST)
Business: State Street Investment Management Compliance

Who we are looking for

Seeking an attention to detail self-starter to assist the Head of Sales Practices Compliance to support State Street Investment Management's U.S. sales practices compliance program. Strong communication skills, written and verbal, as well as analytical skills and intellectual curiosity are critical for your success. Prior experience in marketing communications and review compliance is an advantage. Minimum of three years experience in financial services industry is preferred, but other audit, compliance, risk management or legal experience is an added advantage. Bachelor's degree required.

Why this role is important to us

The team you will be joining plays an important role in the overall success of the organization. Across the globe, our sales and client services engage with investors who rely on our communications to help them manage risk, respond to challenges, and drive performance and profitability. As member of the sales practices Compliance, this role should ensure that our communications meet regulatory requirements across multiple regions and legal entities. This role directly strengthens our governance, regulatory posture, and operational resilience, while shaping a culture of integrity and transparency that goes beyond compliance to support the firm's long-term success.

What you will be responsible for

Marketing and Distribution Compliance - Assistant Manager

Support Sales Practices Compliance Program: Assist in supporting the State Street Investment Management Sales Practices compliance program, including review of firm advertising and sales literature, and development and communication of policies relating to social media usage, electronic communications, and mobile device usage, as well as participation in other sales-related compliance initiatives.

Regulatory Expertise: Serve as a advisor to the business by staying current with firm policies, regulatory requirements, industry guidelines, and emerging trends.

Process Evaluation & Improvement: Collaborate with global Compliance and business teams to evaluate existing processes, identify areas for enhancement, and recommend practical and effective solutions.

Regulatory Reporting & Audit Support: Assist in regulatory reporting activities and support the preparation of documentation and materials required for internal and external audits and examinations.

Stakeholder Management & Advisory Support: Maintain strong working relationships with key stakeholders and provide business colleagues with practical, business-friendly solutions to complex compliance issues.

Recordkeeping & Controls Oversight: Support the effectiveness of firm recordkeeping frameworks, ensuring associated applications and controls remain robust and aligned with regulatory expectations.

Continuous Improvement & Technology Enablement: Identify opportunities to improve review effectiveness and efficiency using available tools and technology. Provide actionable feedback on scenario tuning, workflow improvements, automation opportunities, and process standardization

Flexibility & Adaptability: Adjust to changing business needs, shifting priorities, event-driven spikes, and urgent reviews while maintaining quality and timeliness

Management Reporting & Issue Escalation: Produce and/or oversee accurate and timely management reporting. Identify trends, emerging risks, and challenges escalate potential breaches or gaps with clear mitigation proposals

Training Support : Assist in developing and delivering guidance materials and training programs, both online and in-person.

Broader Compliance Exposure: Gain exposure to a wide range of asset management compliance concepts and contribute to broader compliance program initiatives as required.

What we value

• Communication Rview: Prior compliance, legal, risk management experience is preferred, experience in marketing and distribution compliance is an added advantage
• Regulatory Judgment: Strong capability to interpret communications in connection with regulatory requirements, firm policies, etc. Ability to make risk-based decisions using strong ethical decision making
• Communication & Influence: Clear, concise writing and executiveready storytelling ability to influence without direct authority across global, crossfunctional stakeholders
• Quality Orientation: Meticulous attention to detail consistent ontime delivery in a dynamic, deadlinedriven environment
• Culture: Enthusiasm for the introduction of new technologies including AI and analytics

Education & Preferred Qualifications

• Bachelor's degree required (e.g., Business, Finance, Accounting).
• 7+ years of work experience, preferably in Compliance functions (asset management/wealth or banking), experience in marketing and distribution compliance is an added advantage
• Strong understanding of financial products and asset classes.

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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