Compliance Manager,VP
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 an Equal Opportunity Employer, and prohibits discrimination against applicants or employees on the basis of any legally protected characteristic.
- Report directly to Head of Compliance Asia (ex Japan).
- Coordinate regulatory examination. Prepare/Reviewregulatory filings and liaise with regulators as required.
- Oversees and supervise subordinate to maintain and implement compliance program including Compliance Oversight Program, Code of Ethics, Data Privacy, AML, KYC, complaint handling, training, etc. Maintain compliance policies and procedures.
- Oversee resolution of compliance issues to ensure compliance with relevant laws and regulations (US and Hong Kong).
- Assess impact of new or changes in laws and regulations and develop appropriate action plans.
- Participate in business and compliance meetings/calls and contribute to the preparation of management reports.
- Provide compliance advice to business and handle compliance-related queries.
- Lead or participate in projects (on a local, regional or global basis) such as new products and business reviews, and initiatives to strengthen the internal control environment and to ensure compliance with key internal and external requirements.
- Escalate instances of non-compliance
Qualifications:
- Bachelor's degree and/or professional qualification preferable in Accounting, Law, Finance or equivalent
- Minimum 10years of compliance experience gained with a financial institution, professional firm or a regulatory agency
- Strong securities experience with some banking, custody or funds management experience.
- Team player with effective communication and organization skills
- Demonstrated project management and leadership skills
- Demonstrated analytical and problem solving skills
- Strong computer skills including knowledge of word processing, spreadsheet and database applications.
- Ability to manage multiple priorities while maintaining attention to detail.
- Ability to develop and maintain business relationships within the business unit and across the corporation.
- Fluent in English, Cantonese and Mandarin.
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