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Vice President, Investment Oversight - Regulatory Specialist

State Street Corporation
Boston, USA
Closing date
Jun 22, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
What you will be responsible for
As Investment Oversight Regulatory Specialist (Vice President), you will report into to the Global Head of Investment Oversight and will be responsible for the following:
• Lead analysis and implementation of global regulations that impact investment oversight
• Lead regulatory impact assessment and development of internal controls
• Collaborate with Legal, Risk, and Compliance to ensure our framework adheres to internal requirements, regulatory obligations, and external commitments
• Collaborate across firm functions, including trading, portfolio management, technology, product, and operations to design and implement efforts
• Maintain written policies and documentation related to applicable implementations
• Work with internal stakeholders to make informed risk-based decisions and ensure that appropriate compliance processes and controls are developed, documented, implemented and maintained
• Deliver appropriate solutions to ensure that robust and appropriate controls are implemented
• Ensure the Global Investment Oversight Team is adequately trained on applicable regulation requirements and responsibilities for internal controls.

Who we are looking for
• Experience working in investments/asset management
• Experience with global regulators
• Familiarity with compliance monitoring systems
• Ability to interpret regulatory expectations and lead implementation accordingly
• Knowledge of current/pending global regulations, including 18f-4
• Ability to manage complex projects/programs, including coordinating multiple projects and initiatives at one time
• Experience creating a collaborative environment and working effectively across regions and cultures
• Demonstrate a proactive, time sensitive, results driven approach in carrying out all duties, obligations, and responsibilities
• Strong presentation skills and the ability to influence others to gain support and commitment
• Attentiveness to stakeholder management, including success in building relationships across levels and functional groups
• Self-starter who has the ability to think strategically and consider a broad range of factors when solving/prioritizing issues and making decisions
• Strong time management and organizational skills

What we value
These skills will help you succeed in this role
• Ability to work under pressure
• Demonstrated communication and interpersonal skills
• Strong analytical skills and organizational skills
• Attention to detail
• Ability to work independently and collaboratively with various levels of the organization

Education & Preferred Qualifications
• Bachelor's degree in Finance, Accounting or Economics is preferred
• 10+ years' experience in the investment management field including experience in investment portfolio compliance or other areas of compliance
• Charles River (CRD) / Sentinel rule coding experience
• Proficient in Bloomberg
• Proficient in Microsoft Word and Excel
• Knowledge of global regulations as it pertains to rule coding and monitoring of accounts

Salary Range:
$110,000 - $185,000 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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