- Continue to improve and build upon a strong global compliance program in support of the fourth largest asset management firm in the world that keeps pace with applicable global regulations, including oversight for testing and reporting of applicable law, rules, regulatory guidance and internal policy requirements
- As a member of the SSGA senior most Operating Group, Executive Management Group and Senior Leadership Team as well as the Corporate Compliance function, provide collaborative compliance technical advice and consulting as a subject matter expert to the SSGA Chief Executive Officer, Global Corporate Chief Compliance Officer, and advisors across all SSGA functions, including sales, product, broker-dealer, investments, and trading
- Proactively manage regulatory risk by managing governance forums, performing risk assessments, directing monitoring and oversight efforts, and implementing training programs in key risk areas such as trading practices, sales practices, conflicts of interest, and ethics
- Manage global regulatory exams and prepare business leaders for reviews conducted by banking and investment advisor regulators, including the SEC, FINRA, FCA, CBI, SFC, MAS, ASIC, and the Federal Reserve
- Manage a global team of approximately 50 Compliance officers built on a foundation of teamwork, integrity, and cognitive diversity
- Implement an effective global regulatory change management program by monitoring changes in regulation and working with business partners to update relevant controls and drive regulatory readiness
- Educate Compliance and business personnel on applicable Compliance-related rules and regulations, including Investment Advisers Act of 1940, Investment Company Act of 1940, Commodity Exchange Act, ERISA rules, FINRA rules, and global regulatory requirements for investment advisers, broker dealers, mutual funds, exchange traded funds, commodity pools, hedge funds, and other products
- Prepare and present annual and periodic Compliance program reports/reviews to satisfy client, regulator, and internal management requirements, including Compliance Program evaluations on the state of compliance
- Represent Compliance in SSGA Governance Committees with the purpose of providing advisory support and robust challenge to business line counterparts on regulatory matters
- Oversee the preparation of various bank, investment company, and investment adviser regulatory filings and internal reports for senior management and the Board of Directors
- Develop, implement, and administer Compliance policies and procedures
- Review and assess regulatory and Compliance breaches and remediation
- Managing key projects from the initiation and planning stages through execution and completion
- What we value These skills will help you succeed in this role
- Ability to manage multiple simultaneous tasks in a high pressure, deadline-driven environment
- Strong abilities in analytical thinking, problem solving, research, time management, and verbal and written communication
- Qualified to collaborate with individuals across business units/lines
- Ability to take ownership and initiative, to negotiate, influence and build consensus and successfully navigate within a demanding and international environment of a leading global financial institution
- Education & Preferred Qualifications
- Undergraduate college degree required, JD or MBA degrees preferred
- Minimum 12 years of experience administering and supporting Compliance programs for global asset management firms
- Expert understanding of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and applicable rules and regulations thereunder
- Understanding of the Commodities Exchange Act of 1934 and applicable rules and regulations and National Futures Association rules for Commodity Trading Advisers and Commodity Pool Operators
- Capable of leading global teams and producing high quality and/or final work product and solutions under strict regulatory or management deadlines
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SVP, Chief Compliance Officer, SSGA - Boston, United States - State Street
Description
As Chief Compliance Officer you will
Salary Range:
$225,000 - $337,500 AnnualThe 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.
