SSGA Compliance Analyst, Officer

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • State Street
  • 21 Sep 16

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success. Our promise to

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.



Our promise to maintain an environment where every employee feels valued and able to meet their full potential infuses our company values. It’s also part of our commitment to inclusion, development and engagement, and corporate social responsibility. You’ll have tools to help balance your professional and personal life, paid volunteer days, and access to employee networks that help you stay connected to what matters to you. Join us.







Business Compliance



State Street Global Advisors (SSGA) is a global leader in institutional asset management, entrusted with more than $2.4 trillion in assets. For more than three decades, sophisticated investors worldwide have benefited from our disciplined, precise investment process and powerful global platform offering access to every major asset class, capitalization range and style across the indexing and active spectrums. Our mission, plain and simple, is helping our clients achieve financial security. Since this means something different for each investor, we devote significant time up front to thoroughly understand their specific needs, and then apply our experience and intellectual rigor across a broad toolkit to develop and manage thoughtful, targeted solutions aimed at ensuring their success. The firm employs more than 2,200 people globally in 17 countries, and has nine investment centers across the Americas, Europe and Asia.



SSGA is the investment management arm of State Street Corporation, one of the world’s leading providers of financial services to institutions.



SSGA’s Compliance team of approximately 141 professionals works to ensure that SSGA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues.



SSGA is currently recruiting a Compliance Analyst Officer to report directly to the AVP of Asia ex-Japan Compliance Team, based in Hong Kong. The SSGA Asia ex Japan Compliance team executes two Compliance Oversight Programs respectively for Hong Kong and Singapore. In addition, the compliance team provides investment compliance support to SSGA Asia Pacific including Hong Kong, Singapore, Australia and Japan. 





Primary responsibilities include:



  • Performing monitoring and surveillance activities in relation to business controls, transactions and acitivities.

  • Assisting in the preparation of various regulatory filings and reporting to regulators.

  • Reviewing fund documents, marketing communication and collaterals to ensure compliance with laws, regulations and global requirements.

  • Assisting in tracking and resolving compliance issues.

  • Assisting in design and implementation of ethics compliance related activities.

  • Providing support to implementation of SSGA’s compliance oversight programs, including administering documents and procedures supporting the Compliance Programs and assisting in the completion of assigned COP activities.

  • Assisting in the coordination, preparation, and filing of annual and periodic compliance program reports/reviews to satisfy client, regulator, and internal management requirements.

  • Providing administrative support to Asia ex-Japan Compliance team.







Qualifications 



  • Undergraduate college degree required.

  • 3-5 years of experience in the financial services industry.

  • 3+ years of legal or compliance experience with knowledge of rules and regulations in at least one of the following jurisdictions: Hong Kong, China or Singapore.   Knowledge in South Korea or USA rules and regulations a plus.

  • Effective communication and interpersonal skills.

  • Abilities in analytical thinking, problem solving, research, and time management.

  • Excellent attention to detail required.

  • Ability to manage multiple simultaneous tasks in a high-pressure, deadline-driven environment.

  • Ability to work both independently and collaboratively.

  • Team player.