Senior Compliance Officer

You will work from Mumbai to support the Australian and New Zealand (ANZ) Compliance team, providing compliance services to Russell Investments’ ANZ funds management and superannuation businesses. Core hours are 8.00am to 5.00pm IST, Monday to Friday. This role involves developing an understanding of products, services, and business line functions for compliance oversight, assisting with policy development, performing monitoring activities, and reporting incidents. You will also conduct compliance assurance reviews and participate in vendor compliance monitoring.

Must Have

• Minimum 5 years’ experience in regulatory compliance within financial services/asset management/pension fund industry.
• Knowledge of financial services laws, regulations, corporate governance, and compliance culture.
• Strong English language proficiency.
• Ability to develop understanding of products, services, and business line functions for compliance oversight.
• Capability to assist with developing and maintaining compliance policies and procedures.
• Experience performing regular compliance monitoring activities and reporting.
• Ability to assist with identification, investigation, assessment, and reporting of incidents and breaches.
• High degree of commercial awareness.
• Strong interpersonal, oral, and written communication and collaboration skills.
• Strong organizational skills and ability to meet deadlines.
• Demonstrated proactive approach to problem-solving with strong judgment.

Good to Have

• Exposure to fund administration and investment compliance.
• Good understanding of investment/fund management business, financial products, and services.

Business Unit:

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Compliance, Risk and Internal Audit

Reporting To:

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Compliance Manager

Shift:

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APAC (7:00 am - 4:00 pm IST) (India)

About Russell Investments, Mumbai:

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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 89-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 is “Top 12 Ranked Consultant (2009-2024)” in P&I survey 2024 with $906 billion in assets under advisement (as of December 31, 2024) and $331.9 billion in assets under management (as of March 31, 2025) for clients in 30 countries. Headquartered in Seattle, Washington in the United States, Russell Investments has offices around the world, including London, New York, Toronto, Sydney, Tokyo, Shanghai – and has opened a new office in Mumbai, India in June 2023.

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

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Job Description:

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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 87-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 is the world’s sixth-largest investment adviser, with $1 trillion in assets under advisement (as of June 30, 2022) and $288.3 billion in assets under management (as of March 31, 2023) for clients in 30 countries. Headquartered in Seattle, Washington in the United States, Russell Investments has offices around the world, including London, New York, Toronto, Sydney, Tokyo, Shanghai – and has opened a new office in Mumbai, India in June 2023.

Joining the new 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 one of the first to join this new team based out of Goregaon (East) in Mumbai and be a part of creating the foundation and culture for the firm’s growing operations in India. The Mumbai office operates 5-days a week from Monday to Friday with varying shifts to accommodate time zones around the world.

For more information, please visit www.russellinvestments.com

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Role Summary

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You will work from Mumbai to support the Australian and New Zealand (ANZ) Compliance team, by providing compliance services to Russell Investments’ ANZ funds management and superannuation (pension fund) businesses. Core ordinary hours required to be worked are 8.00am to 5.00pm IST, Monday to Friday.

Years of Experience

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Minimum of 5 years’ experience in the regulatory compliance function of a global firm in the financial services/asset management/pension fund industry.

Qualifications

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• Minimum of 5 years’ experience in the regulatory compliance function of a global firm in the financial services/asset management/pension fund industry.
• Ideally you have had exposure to fund administration, investment compliance and a good understanding of the business of investment/fund management, financial products and services.
• Knowledge of financial services laws and regulations, corporate governance and good compliance culture.
• Strong English language proficiency

Responsibilities

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• Develop understanding of the products, services and business line functions that need to be the subject of compliance oversight.
• Develop knowledge of the relevant Australian laws and regulations and Russell Investments’ standards and work practices pertaining to such products, services and business lines.
• Assist with the development and maintenance of compliance policies and procedures for the purpose of ensuring compliance with regulatory requirements.
• Perform regular compliance monitoring activities and reporting functions in collaboration with the ANZ Compliance team. Maintain and manage half yearly compliance questionnaire/attestation program.
• Assist with identification, investigation, assessment and reporting of incidents and breaches to clients and trustees, boards and committees. Monitor status of remedial actions of breaches and issues.
• Perform compliance assurance reviews for purpose of gaining assurance on the compliance controls in the business.
• Participate in vendor compliance monitoring activities relating to money managers and fund administrator/custodian/registry (transfer agent).
• Perform administration of compliance training records.
• Perform OTC Derivative Transaction Reporting monitoring activities
• Carry out ad hoc tasks and projects as required.

Candidate Requirements

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• High degree of commercial awareness. Motivated to learn, problem solve and get things done.
• Ability to build relationships with business partners and team members, contributing to positive team culture and cross-functional relationships. Strong interpersonal skills and good team player.
• Confidence and ability to independently manage work tasks and deadlines working remotely from the business and colleagues you are supporting.

Core Values

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• 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