SSGA Compliance Analyst, Assistant Vice President, Hybrid

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:

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