Compliance Analyst,Officer
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 committed to embracing diversity and inclusion in the workplace.
Purpose of the Role:
To assist and support to the AVP in the execution, implementation and process management of the Regulatory Risk Oversight Plan and implement a comprehensive monitoring and surveillance plan for the UK entities of AIS and Infrahedge. Where required provide advisory support to the business lines to assist the business in regulatory queries.
Duties Responsibilities:
- Assist in the delivery and execution of the compliance regulatory oversight program for the AIS UK and Infrahedge business.
- Implement and execute the noted risk responses including the application of a documented Monitoring and Surveillance (M+S) plan under the guidance of the AVP.
- Assist in the monitoring of compliance with the FCA and U.S. Regulations and ensure that these are analysed for impact to the AIS UK and Infrahedge businesses and communicate changes to the management teams.
- Assist in the updating of the Compliance Oversight Program including the inventory and risk responses for changes in regulation applicable to State Street.
- Assists in the production of written reports on the effectiveness of the compliance program for presentation to the management teams.
- Documentation of the effectiveness of controls identified in the regulatory oversight plan.
- Manage and assist in the completion of action items (compliance issues) generated by the M+S program and Controls and Testing team.
- Provide assistance in the creation and production of management reporting for the business lines of Infrahedge and AIS UK.
- Develop and maintain good working relationships with supported Business Units and Corporate Areas (including other Corporate Compliance Teams).
Skills Knowledge Required:
- Extensive compliance experience with some knowledge from within an Investment company and will have carried out a number of the duties noted above
- Demonstrated analytical and problem solving skills.
- Strong communication, interpersonal and organisational skills
- Proactive
- Team player
- Highly detailed orientated Committed to meeting deadlines
- Ability to work under pressure
Leave a Reply
You must be logged in to post a comment.