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Corporate Compliance - Conduct Risk, Officer, Hybrid

State Street Corporation
Boston, USA
Closing date
May 27, 2023

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Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
Who we are looking for
The Conduct Risk Management Office at State Street is seeking an Officer who will support the oversight, administration, and advisory services at all levels on Conduct matters related to State Street's personal trading policies. Responsibilities include consultation with employees and business representatives, training and communications on personal trading policies. The position also includes providing occasional support in the review of escalated issues to advise of proper risk mitigation or determine if there has been a serious breach of Conduct policies.This position is perfect for an experienced Compliance individual with a minimum of 2-3 years' experience in Conduct Risk roles who is looking to develop their career within the Compliance function on a global scale and gain exposure to a broad range of business operations

This role can be performed in a hybrid model, where you can balance work from home and office 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 Corporate Compliance - Conduct Risk, Officer, you will
  • Develop a strong understanding of State Street's instance of Star Compliance, State Street's Standard of Conduct, State Street Global Advisors Code of Ethics, Global Personal Investment Policy, and other Conduct related policies and requirements
  • Ensure accurate processing of employee transactions (such as review of personal trading transaction alerts, review of employee requests, administration of the systems etc.) in accordance with standard operating procedures
  • Assist State Street employees, including management, with questions related to Conduct Risk Management matters
  • Support production of management reporting, including but not limited to data collection, qualitative and / or quantitative analysis, formatting, and quality assurance
  • Proactively interact with and coordinate with global Conduct Risk team members in global locations for policy administration
  • Perform ad-hoc projects and requests
  • Cultivate effective relationships with internal business partners in multiple regions and business lines to successfully achieve organizational goals

What we value
  • These skills will help you succeed in this role
  • Strong interpersonal and communication skills
  • Analytical skills
  • Ability to work independently and balance multiple priorities

Education & Preferred Qualifications
  • 2-3 years' of experience in Conduct Risk
  • Experience in reviewing employee policy breaches - beneficial
  • Experience with StarCompliance- beneficial

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:
$65 000 - $102 500 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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