BU Compliance Cnslt,Off
Compliance Analyst, Officer
State Street Global Advisors (SSGA) is a global leader in institutional asset management, entrusted with more than $3.12 trillion in assets. SSGA's Compliance team 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 within its Regulatory Compliance team. The Analyst will be responsible for providing assistance in the execution and oversight of SSGA's regulatory compliance activities.
Primary responsibilities will include:
- Assisting in 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.
- Assisting in the preparation of memoranda and materials for various SSGA Funds Boards.
- 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.
- Undergraduate college degree required.
- 3-5 years of experience with compliance programs for an SEC registered investment adviser, registered investment companies or comparable experience.
- Strong understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Strong communication and interpersonal skills.
- Strong 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.
For more than three decades, sophisticated investors worldwide have benefited from State Street's 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 2,700 people globally, 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.