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Compliance Analyst, Officer

State Street

State Street is a leading provider of financial services to institutional investors around the world.

Who we are looking for

State Street Global Advisors (SSGA) Compliance team is looking to hire a Compliance Analyst to join the Registered Funds Chief Compliance Officer’s (CCO) team. State Street Global Advisors’ Compliance team of approximately 50 professionals works to ensure that SSGA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and Compliance issues. This role provides an opportunity to assist senior management and business professionals on Compliance matters and design, develop, and enhance the firm’s Compliance programs as the firm’s regulatory requirements grow and expand.

Why this role is important to us

The team you will be joining is part of SSGA, one of the biggest asset managers in the world, that provides services to the world’s governments, institutions and financial advisors across the globe. With over four decades of experience and trillions of dollars in assets under management, we offer one of the broadest selections of services across asset classes, risk profiles, regions and styles. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest.

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

As Compliance Analyst, Officer you will

  • Assist 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 Forms CTA PR CPO PQR,as well as the Rule 206(4)-7 annual compliance program report
  • Assist in the preparation of memoranda and materials for various SSGA Funds Boards
  • Perform periodic due diligence activities on investment advisors and other 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 analyse findings for materiality, trends, and significant process design and operating deficiencies
  • Perform ongoing monitoring of the adviser’s activities to ensure consistency with regulatory requirements and the adviser’s policies and procedures
  • Assist in the implementation of new regulatory oversight initiatives and activities
  • Collaborate with business partners to resolve compliance issues
  • To act as a steward of compliance with our key business partners

Education & Preferred Qualifications

  • Bachelor’s degree or equivalent
  • About 4+ years of experience in financial services
  • Experience in oversight, preparations and filing SEC Forms ADV, PF, NFA Forms CTA PR CPO PQR

What we offer

Wide 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)

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

COVID-19 Protocols: Complying with State Street’s COVID-19 protocols is a condition of employment. Those requirements may vary depending on circumstances and legal requirements, and may include, without limitation, a requirement to be vaccinated (or have an accommodation), to disclose vaccination status, to provide evidence of vaccination status, etc.

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Compliance Analyst, Officer

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Contact us

State Street

State Street is a leading provider of financial services to institutional investors around the world.

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