SSGA Compliance Analyst

Who we are looking for
The SSGA Compliance team is looking to hire a Compliance Analyst, Assistant Vice President, to join the SSGA North America Compliance team. State Street Global Advisors (“SSGA”) is the asset management business of State Street Corporation, one of the world’s leading providers of financial services to institutional investors, with a heritage dating back over two centuries. The SSGA Compliance team works to ensure that SSGA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues. This role is within the SSGA North America Compliance team in Boston. This role is performed in hybrid model, 4 days onsite in Boston office, 1 day remotely.
 

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, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

Key Responsibilities include:

• Assist in educating internal business partners on applicable federal securities rules and regulations, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, and other regulatory obligations for investment advisers, mutual funds, exchange traded funds, commodity pools, hedge funds, private funds, and other pooled investment products.

• Assist in the oversight, preparation and/or filing of periodic bank, investment company, and investment adviser regulatory filings to satisfy all client, regulator, and internal management requirements.

• Assist in the oversight, preparation and review of Fund and Legal Entity Board Reporting for North America.

• Perform periodic due diligence activities on all third party service providers to the adviser and funds.

• Assist the Global Chief Compliance Officer (CCO) and the Adviser CCO in managing regulatory examinations, requests, inquiries and corporate audits for North America.

• Assist the Global CCO with various Corporate strategic initiatives and ongoing corporate compliance deliverables.

• Perform periodic Regulatory Compliance and AML Risk Assessments for the North America legal entities and funds

• Participate in State Street Corporation’s global regulatory change management process by conducting regulatory impact analysis and collaborating with the business to implement any applicable regulatory changes into SSGA’s end-to-end business processes and internal policies and controls

• Collaborate with all business partners to escalate and resolve compliance issues.

• Perform ongoing monitoring of the adviser’s business activities to ensure consistency with regulatory requirements, adviser policies and procedures, and corporate policies and procedures.

• Assist the Global CCO and the Adviser CCO in the execution of ad-hoc compliance projects in support of SSGA’s North America compliance program.

• Participate in State Street Corporation’s and SSGA’s governance structure as a member (or proxy) of certain committees.

Skills
These skills will help you excel in the role

• Strong communication and interpersonal skills.

• Strong abilities in analytical thinking, problem solving, research, and time management.

• Excellent attention to detail required.

• Ability to manage multiple simultaneous tasks in a high-pressure, deadline-driven environment

• Ability to maintain sensitive information.

• Ability to work both independently and collaboratively.

• Capable of producing high quality and/or final work product and solutions in a rapidly changing environment with tight deadlines, including the skill to prioritize and allocate projects and workflow to ensure timely and accurate delivery.
   

Qualifications & Required Experience

• Undergraduate college degree required; Juris Doctor degree is a plus.

• 5-8 years of experience with compliance programs for an SEC registered investment adviser, registered investment companies or comparable experience.

• Strong understanding of the Investment Advisers Act of 1940,the Investment Company Act of 1940, and the various NFA and CFTC regulations.

• Proficient in Microsoft Word and PowerPoint and basic skills in Microsoft Access and Excel
   

What we offer

Wide range of benefits, including:

·Medical

·Prescription Drug

·Health Savings Account (HSA)

·Flexible Spending Accounts (FSAs)

·Dental

·Vision

·Employee-Paid Life and Accidental Death & Dismemberment (AD&D) Insurance

·Employee-Paid Long-Term Disability

·Critical Illness Insurance

·Accident Insurance & Hospital Indemnity Insurance

·Business Travel Accident Insurance

·Short-Term Disability

·Identity Theft Protection

·Legal Benefits

·BeWell Programme

·Paid Time Off

·Employee Assistance Program (EAP)

·Salary Savings Program (SSP)

Are you the right candidate? Yes!

We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don’t necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We truly believe our employees’ diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

Discover more at StateStreet.com/careers

Salary Range:

$80 000 - $132 500 Annual

The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.

Job Application Disclosure:

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

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