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Compliance Advisory, Senior Associate, Hybrid

State Street Corporation
Boston, USA
Closing date
Apr 5, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Who we are looking for
With immediate effect we are looking for Compliance Advisory, Senior Associate to join State Street Global Advisors ("SSGA") team in Boston, MA or Stamford, CT. 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 Compliance team in Boston. The team is an extension of SSGA Compliance teams globally and provides compliance support to Compliance and Businesses in SSGA. This role can be performed in a hybrid model, where you can balance work from home and office (3 days on -site per week) to match your needs and role requirements.

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.

What you will be responsible for
As Compliance Advisory, Senior Associate, you will deliver on compliance responsibilities in support of the North America compliance program within SSGA, including:
  • Completing firm-level filing requirements with various regulators in North America, such as Form BD/Form BR (FINRA) and Form 7R (NFA) amendments
  • Completing filing requirements for individuals registered with various regulators in North America, such as the registration process for new, existing and terminated individuals including onboarding process (background checks, fingerprinting, drafting U4), U4/8R amendments, U5/8T terminations and state inquiries
  • Maintaining the individual registration roster and system of supervisory structure including making all changes due to hires/transfers/terminations and distributing the individual registration roster to the supervisory principals. including monitoring and reconciliation of registered persons lists
  • Monitoring and communication to registered individuals of their regulatory continuing education requirements
  • Administering the Outside Business Activity report process, including conduct risk management report review, Form U4 amendments and Star Compliance/NSRD system administration
  • Coordinating and administering annual tax payments process for all required individuals, which includes coordinating the payment of the taxes with Finance
  • Coordinating FINRA advertising review filings and coordinating FINRA letter responses in internal advertising repository system
  • Project management for large changes or enhancements, including regulatory changes, compliance program changes, or other corporate-wide transformation projects
  • Creating and maintaining procedures for functions performed

What we value
These skills will help you succeed in this role
  • Strong analytical thinking, problem solving, research, time management, and verbal and written communication skills, including an ability to actively communicate concerns
  • Strong technical skills for project management, creating presentations, reports, and data analytics
  • Demonstrated organizational skills (including being able to balance multiple tasks) and acute attention to detail
  • Collaborative by nature with the capability to help others achieve more
  • Ability to form and cultivate positive relationships with internal partners that motivates and inspires others
  • Strong sense of ethics and personal integrity

Education & Preferred Qualifications
  • 2-4 years of work experience, preferably in the financial industry or asset management industry, with a focus on risk and compliance
  • Bachelor's Degree from a reputed Institution
  • Strong MS Office technical skills including Excel, Work, PowerPoint, Teams
  • Experience creating reporting dashboards in data visualization programs (e.g., Tableau)
  • Recognized Financial, Compliance and/or Risk Certifications are an added advantage

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)

Are you the right candidate? Yes!
We truly 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 don't 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.

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Salary Range:
$52 000 - $78 520 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.

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