Compliance Analyst, AVP - State Street Investment Management

State Street Investment Management 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 State Street Investment Management Compliance team works to ensure that the Firm meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues. This role is within the 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. 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 is a challenge you are up for.

State Street Investment Management Compliance is looking to hire a Compliance Analyst, Assistant Vice President (AVP) to join the Marketing Compliance team.

Key Responsibilities include:

• Partner with our business partners (including Communications, Marketing, and Distribution) to ensure compliance with the Firm’s policies and procedures and to assist in the efficient editing and approval of marketing materials submitted for review and record-keeping.
• 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.  May support similar global distribution and marketing activities.
• Responsible for filing US retail communications with FINRA in a timely manner and working with the business and Global Head of Marketing Compliance to address any feedback received.
• Help to monitor ongoing regulatory actions and requirements (i.e., FINRA Notices To Members) to ensure that the team conducts business with the most up-to-date information available.
• Assist the Global Head of Marketing Compliance, Fund CCO, Broker-Dealer CCO, and other members of the Compliance team with regulatory inquiries, requests, and examinations (particularly those related to FINRA Advertising Review).
• Collaborate with all business partners to escalate and resolve compliance issues.
• Assist the Global Head of Marketing Compliance and other members of the Compliance Team in the execution of ad-hoc projects in support of the Firm’s global compliance program.

Qualifications

• Undergraduate college degree required; Master’s Degree or Juris Doctor degree is a plus.
• FINRA Registrations (Series 7, 24, 3, etc.) and experience using FINRA systems (AREF, CRD, etc.) for job duties is preferred; experience interacting with regulators is a plus.
• 5-8 years of experience with compliance programs for FINRA registered broker-dealers, SEC registered investment advisers, registered investment companies or comparable experience.
• Strong understanding of FINRA rules (i.e., 2210 and 3110), SEC Rules (including updates to the Marketing Rule), the Investment Advisers Act of 1940, the Investment Company Act of 1940, and other regulations applicable to marketing and distribution.
• Relevant knowledge of and/or work experience with a range of product types including (but not limited to) exchange-traded funds, mutual funds, and UCITS is required.
• Strong communication and interpersonal skills; excellent attention to detail.
• Strong abilities in analytical thinking, problem solving, research, and time management.
• 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.
• Proficiency in Microsoft Word, Excel, and PowerPoint is required; Basic skills in Microsoft Access, SharePoint, and/or Visio is a plus.

About State Street Investment Management
 

What We Do. As the asset management arm of State Street Corporation, State Street Investment Management has served the world’s governments, institutions and financial advisors for over four decades. With a rigorous, risk-aware approach built on research, analysis and market-tested experience, we build from a breadth of active and index strategies to create co