SSgA Compliance Director, Vice President
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.
State Street supports flexible work arrangements where determined feasible, consistent with business and operational needs. Subject to an individualized assessment of these considerations, roles may be identified as potentially suited for a flexible work arrangement. Requests for a flexible work arrangement can be made upon hire. All employees at State Street have the ability to request flexible work arrangements, with the final decision based solely on business discretion and subject to management approval. More information is available here.
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.
State Street Global Advisors (SSgA) is the asset management business of State Street Corporation, one of the world's leading providers of financial services to institutional investors. SSgA is relied on by sophisticated investors worldwide for its disciplined investment process, powerful global investment platform and access to every major asset class, capitalization range and style.
The Compliance group is responsible for supporting SSgA in complying with laws and regulations applicable to global business activities. SSgA's Compliance team of approximately 75 professionals works to ensure that SSgA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues.State Street Global Advisors (SSgA) is the asset management business of State Street Corporation, one of the world's leading providers of financial services to institutional investors^1, with a heritage dating back over two centuries. State Street Global Advisors (SSgA) is the asset management business of State Street Corporation, one of the world's leading providers of financial services to institutional investors^1, with a heritage dating back over two centuries. State Street Global Advisors (SSgA) is the asset management business of State Street Corporation, one of the world's leading providers of financial services to institutional investors^1, with a heritage dating back over two centuries.
State Street Global Advisors (SSgA) is the asset management business of State Street Corporation, one of the world's leading providers of financial services to institutional investors^1, with a heritage dating back over two centuries. Backed State Street Global Advisors (SSgA) is the asset management business of State Street Corporation, one of the world's leading providers of financial services to institutional investors^1, with a heritage dating back over two centuries.
The Vice President, Sales and Marketing Compliance, will manage a global team of compliance professionals responsible for the review of advertising and sales literature to ensure adherence to FINRA and SEC rules and regulations, as well as internal firm guidelines.
- Manage a global team of compliance professionals responsible for the review and approval of sales and advertising literature for registered products (Exchange Traded Funds and Mutual Funds) and non-registered institutional products
- Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials.
- Participate in governance committees that impact Sale Marketing collateral reviews.
- Provide periodic training to content creators in the Investment, Sales, and Marketing Teams to ensure they understand regulatory and firm compliance requirements.
- Collaborate with the investment advisor business and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
- Ensure that the review process is robust and constantly improved.
- Ensure that materials created for public use are filed with FINRA in a timely manner.
- Review FINRA comment letters and ensure that they are resolved and responded to on a timely basis.
- Assist in maintaining an electronic review system that is used for reviewing and recordkeeping all material in accordance with Record Retention requirements.
- Assist in preparation for regulatory examinations.
- Provide daily training interaction with new employees regarding Firm's policies, procedures and regulatory requirements.
- Assist with special projects, as requested.
- A Bachelor's Degree or equivalent is required.
- A minimum of 6 years of experience in reviewing advertising and sales literature and a background in regulatory compliance is required.
- Solid knowledge of the sales and marketing regulations under the Investment Advisers Act and Investment Company Act is required.
- Prior management experience and the ability to lead a team are mandatory.
- Excellent writing skills are mandatory.
- FINRA 7 and/or 24 licenses preferred.
- Excellent organizational and project management skills are required.
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