Marketing Compliance – State Street Global Advisors, Vice President
State Street Global Advisors (SSGA) is seeking a dynamic and experienced individual to work as a Vice President in its Distribution Compliance team. The successful candidate will be a key member of the Compliance organization and will be located in Boston. They will report directly to Brian Harris, Chief Compliance Officer of SSGA Funds Management, Inc., SSGA Trust Company, and SSGA Canada. The candidate will play a pivotal role in the oversight of SSGA’s distribution and sales practices-related control environment, will be responsible for building a strong second line of defense and will need to successfully engage and mentor a junior staff of compliance professionals, globally.
The role will be performed in Boston, MA (4 days onsite, 1 day remote).
What you will be responsible for:
- Design compliance advisory reviews and testing activities and participate in semi-annual compliance risk assessment exercises.
- Monitor the global regulatory environment for new rulemaking pertaining to Distribution and Sales Practices. Work with counterparts within the SSGA business line, SSGA Compliance, and SSGA Legal to assess impact of new rules or interpretive guidance, and advise the business on technical compliance matters with respect to sales and distribution topics.
- Oversee the design and delivery of annual (and ad-hoc) Distribution and Sales Practices compliance training pertaining to key regulatory requirements and firm policies.
- Supervise the annual review and updating of policies and procedures to ensure ongoing consistency with global regulatory requirements and expectations.
- Ensuring appropriate oversight and monitoring of designated areas of regulatory/compliance risk.
- Assist in the effective management of internal and external audits and regulatory examination/inquiries.
- Maintain constructive relationships with regulators and internal business partners.
Education & Preferred Qualifications
- A strong knowledge of the existing US regulatory framework (FINRA and SEC rules around the marketing of registered products) is essential as is a comprehensive understanding of the asset management or broker/dealer industry, services and products.
- 5 to 7 years’ relevant experience within asset management or broker/dealer compliance. JD or other advanced degree preferred.
- FINRA Series 6, 7, 24, and 26 licenses preferred.
What we value
- High levels of drive and focus together with enthusiasm for working in an international organization which delivers a global compliance program are prerequisites.
- Proven communication skills - both verbal and written - with the demonstrated ability to lead through influence are required.
- Proactive and dynamic individual who has a demonstrated ability to prioritize tasks, mentor junior team members, collaborate with peers, deal with ambiguity and solve complex compliance issues in a fast-paced environment.
Salary Range: $110,000 - $185,000 Annual
This range 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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