Compliance Manager
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 $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street's website at www.statestreet.com.
Promoting a culture of excellence
With more than 29,225 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.
The Role:
Global Markets Compliance team seeks graduate to support the oversight of and provide advice to our Transition Management ('TM'). Knowledge of debt and equity trading is key.
Support the compliance oversight program for State Street's TM services as part of the wider Global Markets business (the Business Units – BUs)
Assistance in oversight of regulatory topics, including client money, transaction reporting and financial crime.
Compliance strives to position itself as a business partner and is looking to build compliance plans that oversee our business from A to Z, whilst offering pro-active advice in the field of regulatory change and on-going business activity.
Primary product exposure:
Exchange Traded Derivatives (ETD) – Financial futures and options
Debt and equity trading
Foreign Exchange
Stock exchange rules
Job Summary/Description:
- Review key regulatory requirements relating to BUs (including regulatory bodies, industry guidance and exchange/clearing house rules) and support change management processes to ensure compliance
- Maintain calendar of compliance deliverables
- Work with BUs to implement and maintain controls as mapped to regulatory risks
- Conduct monitoring surveillance activities to ensure compliance with regulatory requirements such as market abuse and transaction reporting
- Support regulatory requests relating to trading activity
- Coordinate regular calls for compliance oversight of SSGMIL globally
- Completion of monthly management information reporting on time
- Active tracking of compliance issues within the business, ensuring sufficient evidence is uploaded and the item closed in due time
- Provide guidance to the business on existing regulations and the application to current activities
- Provide compliance input to projects and new products/services
Ideal Candidate Profile:
- Must be an experienced Compliance Manager with Global Markets, FS experience as essential to be considered for this role.
- Advanced Microsoft Office skills (Excel, Visual Basic, PowerPoint)
- Knowledge of financial products/electronic trading platforms
- Team player with great attitude and work ethic
- Good communicator, comfortable in presenting and explaining analysis
- Detail oriented, interest in financial markets, current events and financial news
Certifications:
Industry qualifications preferred (CISI Certificates, CFA UK IMC)
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