State Street
Marketing Compliance – State Street Global Advisors, Vice President
State Street, Boston, Massachusetts, us, 02298
Who we are looking forState Street Global Advisors (SSGA) is seeking a dynamic and experienced individual to work as a Vice President in its Distribution Compliance team. The successful candidate will be a key member of the Compliance organization and will be located in Boston. They will report directly to Brian Harris, Chief Compliance Officer of SSGA Funds Management, Inc., SSGA Trust Company, and SSGA Canada. The candidate will play a pivotal role in the oversight of SSGA’s distribution and sales practices-related control environment, will be responsible for building a strong second line of defense and will need to successfully engage and mentor a junior staff of compliance professionals, globally.
The role will be performed in Boston, MA (4 days onsite, 1 day remote).
Why this role is important to usThe 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. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. 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.
What you will be responsible for:
Design compliance advisory reviews and testing activities and participate in semi-annual compliance risk assessment exercises.
Monitor the global regulatory environment for new rulemaking pertaining to Distribution and Sales Practices. Work with counterparts within the SSGA business line, SSGA Compliance, and SSGA Legal to assess impact of new rules or interpretive guidance, and advise the business on technical compliance matters with respect to sales and distribution topics.
Oversee the design and delivery of annual (and ad-hoc) Distribution and Sales Practices compliance training pertaining to key regulatory requirements and firm policies.
Supervise the annual review and updating of policies and procedures to ensure ongoing consistency with global regulatory requirements and expectations.
Ensuring appropriate oversight and monitoring of designated areas of regulatory/compliance risk.
Assist in the effective management of internal and external audits and regulatory examination/inquiries.
Maintain constructive relationships with regulators and internal business partners.
Education & Preferred Qualifications
A strong knowledge of the existing US regulatory framework (FINRA and SEC rules around the marketing of registered products) is essential as is a comprehensive understanding of the asset management or broker/dealer industry, services and products.
5 to 7 years’ relevant experience within asset management or broker/dealer compliance. JD or other advanced degree preferred.
FINRA Series 6, 7, 24, and 26 licenses preferred.
What we valueThese skills will help you succeed in the role:
High levels of drive and focus together with enthusiasm for working in an international organization which delivers a global compliance program are prerequisites.
Proven communication skills - both verbal and written - with the demonstrated ability to lead through influence are required.
Proactive and dynamic individual who has a demonstrated ability to prioritize tasks, mentor junior team members, collaborate with peers, deal with ambiguity and solve complex compliance issues in a fast pace environment.
What we offerWide 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 StreetWhat 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/careersSalary Range:$110,000 - $185,000 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.
State Street's Speak Up Line
#J-18808-Ljbffr
The role will be performed in Boston, MA (4 days onsite, 1 day remote).
Why this role is important to usThe 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. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. 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.
What you will be responsible for:
Design compliance advisory reviews and testing activities and participate in semi-annual compliance risk assessment exercises.
Monitor the global regulatory environment for new rulemaking pertaining to Distribution and Sales Practices. Work with counterparts within the SSGA business line, SSGA Compliance, and SSGA Legal to assess impact of new rules or interpretive guidance, and advise the business on technical compliance matters with respect to sales and distribution topics.
Oversee the design and delivery of annual (and ad-hoc) Distribution and Sales Practices compliance training pertaining to key regulatory requirements and firm policies.
Supervise the annual review and updating of policies and procedures to ensure ongoing consistency with global regulatory requirements and expectations.
Ensuring appropriate oversight and monitoring of designated areas of regulatory/compliance risk.
Assist in the effective management of internal and external audits and regulatory examination/inquiries.
Maintain constructive relationships with regulators and internal business partners.
Education & Preferred Qualifications
A strong knowledge of the existing US regulatory framework (FINRA and SEC rules around the marketing of registered products) is essential as is a comprehensive understanding of the asset management or broker/dealer industry, services and products.
5 to 7 years’ relevant experience within asset management or broker/dealer compliance. JD or other advanced degree preferred.
FINRA Series 6, 7, 24, and 26 licenses preferred.
What we valueThese skills will help you succeed in the role:
High levels of drive and focus together with enthusiasm for working in an international organization which delivers a global compliance program are prerequisites.
Proven communication skills - both verbal and written - with the demonstrated ability to lead through influence are required.
Proactive and dynamic individual who has a demonstrated ability to prioritize tasks, mentor junior team members, collaborate with peers, deal with ambiguity and solve complex compliance issues in a fast pace environment.
What we offerWide 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 StreetWhat 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/careersSalary Range:$110,000 - $185,000 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.
State Street's Speak Up Line
#J-18808-Ljbffr