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Compliance Analyst

Russell Investments

Russell Investments

IT, Legal
Mumbai, Maharashtra, India
Posted on Tuesday, July 9, 2024

Business Unit:

Compliance, Risk and Internal Audit

Reporting To:

U.S. Adviser Chief Compliance Officer

Shift:

EMEA/UK (1:30 pm – 10:30 pm IST) (India)

About Russell Investments, Mumbai:

Russell Investments is a leading outsourced financial partner and global investment solutions firm providing a wide range of investment capabilities to institutional investors, financial intermediaries, and individual investors around the world. Building on an 88-year legacy of continuous innovation to deliver exceptional value to clients, Russell Investments works every day to improve the financial security of its clients. The firm has over $1 trillion in assets under advisement (as of December 31, 2023) and $302.7 billion in assets under management (as of March 31, 2024). Headquartered in Seattle, Washington in the United States, Russell Investments has offices around the world, including London, New York, Toronto, Sydney, Tokyo, Shanghai, and Mumbai.

Joining the Mumbai office is an incredible opportunity to work closely with global stakeholders to support the technology and infrastructure that drives the investment and trading processes of a globally recognized asset management firm. Be part of the team based out of Goregaon (East) and contribute to the foundation and culture of the firm’s growing operations in India. The Mumbai office operates with varying shifts to accommodate time zones around the world.

For more information, please visit https://www.russellinvestments.com.


Job Description:

This compliance role will be based in Mumbai and will work with colleagues in Seattle, London, Australia, Toronto and Tokyo. Our compliance team serves as a robust, independent second line of defense and provides critical support to help ensure that the firm operates within regulatory requirements and industry practices.

The person in this role will be a key member of our U.S. Registered Investment Adviser Compliance team, providing regulatory oversight of all investment adviser activities and professional ethics matters under the Global Code of Conduct and Code of Ethics.

Years of Experience

1-2 years of work experience in trading and/or investment management industry

Qualifications

  • A Bachelor’s degree, Business or Finance preferred.
  • Relevant internship or 1-2 years of work experience in investment management or financial services, including previous experience with professional ethics (employee personal trading, outside business activities, gifts and entertainment) and U.S. regulatory filings.
  • A passion for and strong understanding of a regulatory compliance program.
  • Proficient Excel skills.

Special Requirements

None

Responsibilities

  • Provide regulatory and policy guidance on professional ethics matters.
  • Identify areas of improvement, emerging risks and regulatory focus.
  • Lead project initiatives of the adviser compliance program to ensure a robust framework is in place for policies and procedures, governance, training, testing, monitoring and risk assessments.
  • Design and perform periodic training, testing and monitoring exercises.
  • Contribute to and validate the compliance risk assessment of the investment adviser activities.
  • Prepare quarterly and annual regulatory reporting with strong coordination with Operations, Legal, and the Investment Division.
  • Provide oversight of SEBI registrations and activity, including regulatory updates and compliance with SEBI regulations.
  • Initiate, build and cultivate strong relationships across the enterprise to become a “trusted adviser” that is able to navigate and create solutions to address complex issues.

Candidate Requirements

  • Excellent organization skills, the ability to prioritize effectively, and have the ability to work under pressure without compromising quality.
  • Proactive approach to tasks and responsibilities.
  • Motivated to work in a multicultural and international environment.
  • Analytical and process-oriented mindset.
  • Ability to multi-task effectively and handle change well.
  • Results-oriented team player with the ability to work cross-functionally in a team environment.

Core Values

  • Strong interpersonal, oral, and written communication and collaboration skills with all levels of management.
  • Strong organizational skills including the ability to adapt to shifting priorities and meet frequent deadlines.
  • Demonstrated proactive approach to problem-solving with strong judgment and decision-making capability.
  • Highly resourceful and collaborative team-player, with the ability to also be independently effective and exude initiative and a sense of urgency.
  • Exemplifies our customer-focused, action-oriented, results-driven culture.
  • Forward looking thinker, who actively seeks opportunities, has a desire for continuous learning, and proposes solutions.
  • Ability to act with discretion and maintain complete confidentiality.
  • Dedicated to the firm’s values of non-negotiable integrity, valuing our people, exceeding client expectations, and embracing intellectual curiosity and rigor.

Visit us: https://russellinvestments.com/us/careers