Compliance Analyst,Off
Our Company
State Street Corporation (NYSE: STT) is the world's leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.42 trillion in assets under custody and administration and $2.18 trillion in assets under management at March 31, 2013, State Street operates globally in more than 100 geographic markets and employs 29,460 worldwide. For more information, visit State Street's website at www.statestreet.com.
Promoting a culture of excellence
With more than 29,460 employees across 29 countries, at State Street, our people are our greatest asset. We recognize that highly skilled, engaged and productive employees are essential to our success. Our company values reflect our commitment to employee engagement, Global Inclusion and corporate social responsibility -- to help you build a fulfilling career. Around the world, we aim to be an employer of choice by offering competitive compensation and benefits, personal and professional development opportunities, and a work environment that promotes a diverse array of people, ideas and skills.
We're a company that insists on, and rewards, performance excellence. We know our success hinges on attracting the best people to join us -- people like you.
We encourage you to explore the possibilities that a career at State Street can offer you.
State Street is an Affirmative Action/Equal Opportunity Employer. Applicants are considered for all positions without regard to race, color, religion, national origin, ancestry, ethnicity, age, disability, sexual orientation, gender, gender identity, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status or other characteristics protected by applicable law.
Responsibilities:
- Maintain current knowledge of FINRA/NASD, NYSE, SEC and MSRB rules and regulations.
- Assist with SRO registration, filing and continuing education requirements
- Conduct monitoring and surveillance of various broker/dealer operations
- Assist in the development of compliance risk assessment and testing to ensure that appropriate testing is completed to ensure adherence to business controls, processes, policies, procedures and regulatory standards.
- Assist in compiling data and drafting reports on broker-dealer compliance.
- Identify issues resulting from internal and/or external compliance examinations.
- Assist in recordkeeping, reporting, audits and inquiries.
- Research rules and regulations analyzing potential implications for firm.
- Basic knowledge of Broker/Dealer regulatory requirements.
- Series 7 or ability to obtain licenses within six months of placement.
- BA or BS required (major in business or finance preferred).
- One to three years of financial services experience in a compliance or audit function.
- Self-motivated and able to prioritize workflow and work independently.
- Strong interpersonal and analytical skills.
- Excellent PC (MS Office) skills and outstanding verbal and written communication skills.
- Analytical/detail-oriented mindset and a good sense of judgment.
- Ability to work in a fast paced environment, handle multiple tasks and manage deadlines.
Leave a Reply
You must be logged in to post a comment.