State Street Global Advisors Compliance Analyst, AVP
Boston, MA, United States
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.
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. 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.
The SSGA Compliance team is looking to hire a Compliance Analyst, Assistant Vice President (AVP) to join the SSGA North America Compliance team.
Key Responsibilities include:
Assisting in educating internal business partners on applicable federal securities rules and regulations, including Investment Advisers Act of 1940, Investment Company Act of 1940, Commodity Exchange Act, and other regulatory obligations for investment advisers, mutual funds, exchange traded funds, commodity pools, hedge funds, and other products
Assisting in the oversight, preparation, and/or filing of periodic bank, investment company, and investment adviser regulatory filings to satisfy client, regulator, and internal management requirements, including SEC Forms ADV, PF, NFA CTA Form PR, NFA CPO Form PQR, as well as the Rule 206(4)-7 annual compliance program report.
Assisting in the oversight, preparation, and/or review of Fund and Legal Entity Board Reporting
Performance of periodic due diligence activities on third party service providers, such as the review of due diligence questionnaires and certifications, periodic calls and on-site due diligence visits.
Review information provided by third parties, identify and escalate material issues.
Critically analyze findings for materiality, trends, and significant process design and operating deficiencies.
Communicate findings from oversight activities to the Adviser CCO or pertinent Committees via summary memorandum or reporting.
Research and impact analysis of new rules and regulations
Collaborate with business partners to resolve compliance issues
Perform ongoing monitoring of the adviser's activities to ensure consistency with regulatory requirements and the adviser's policies and procedures
Assist in completing additional projects in support of the compliance program.
Qualifications 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 and the Investment Company Act of 1940.
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 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
Ability to maintain sensitive information
Proficient in Microsoft Word and PowerPoint and basic skills in Microsoft Access and Excel
Are you the right candidate? Yes
We honestly 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 do not 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.