Compliance Analyst

1 Month ago • Upto 3 Years

Job Summary

Job Description

The Compliance Analyst will be a valuable member of the Global Compliance Team, responsible for supporting marketing reviews of sales and client service advertising materials. This role will also provide support to the email surveillance program and assist with other compliance activities that support the firm’s policies and procedures, testing, and maintenance of global regulatory developments and industry trends. The role requires an ability to multi-task, resolve compliance issues and achieve multiple compliance objectives. The analyst will be a key part of the compliance team, which serves as a second line of defense. Responsibilities include supporting the email surveillance program and marketing material review process, managing the Code of Ethics and personal trading program, participating in projects relating to US and global compliance policies, executing reporting processes and creating/distributing reports, and building strong relationships within the compliance team and across the firm.
Must have:
  • Familiarity of or experience in the financial services industry
  • Ability to quickly learn new technology platforms and adapt to change.

Job Details

Business Unit:

Compliance, Risk and Internal Audit

Reporting To:

Compliance Manager

Shift:

EMEA (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:

The Compliance Analyst is a valuable member of the Global Compliance Team, providing day-to-day marketing review support of sales and client service advertising materials of Russell Investments’ retail, institutional and corporate businesses as well as supporting the email surveillance program.

This role also may assist in other compliance activities that support the firm’s policies and procedures, testing, and maintenance of global regulatory developments and industry trends.

This role requires an individual with an ability to multi-task and maintains a results-oriented approach to resolving various compliance issues and achieving multiple compliance objectives.

The compliance team serves as a robust independent second line of defense to help ensure that the firm operates within regulatory requirements and industry practices, and this is an important role within the compliance team.

Years of Experience

Minimum of 0-3 years experience.

Qualifications

A strong educational background including an undergraduate degree is required.

Responsibilities

  • Support the firm’s email surveillance program and marketing material review process
  • Liaise with global compliance team to manage the Code of Ethics and personal trading program of Mumbai staff
  • Participate in projects relating to the enhancement of US and global compliance policies and procedures, internal controls, and systems in response to changes in the business or regional and/or global regulations
  • Liaise across the firm to execute reporting processes and create/distribute reports to support reporting for global and US compliance trends; and
  • Initiating, building and cultivating strong relationships inside and outside the compliance team and be able to navigate and create solutions to solve sophisticated issues while working with various levels of management and business partners.

Candidate Requirements

  • Familiarity of or experience in the financial services industry, particularly in the areas of investment adviser or broker/dealer.
  • Ability to quickly learn new technology platforms and adjust to change.

Core Values

  • Attention to detail
  • 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.

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About The Company

Russell Investments is aleading outsourcedCIO(OCIO) 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 $302.7billion in assets under management (as of March 31, 2024). Headquartered in Seattle, Washington, Russell Investments has offices in 16 cities around the world, including London, New York, Toronto, Sydney, Tokyo, Mumbai, and Shanghai.

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