State Street Global Advisors Compliance Manager, 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 theseconsiderations, 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" or the "Firm") 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 Team 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 of Sub-Advisor and Third-Party Oversight will manage a global team of compliance professionals responsible for the evaluation and oversight of sub-advisers and third-parties supporting SSgA's various investment products. This individual will also manage the Firm's annual SSAE 16 controls examination process and oversee other compliance areas including Conflicts of Interest, Privacy, AML and Code of Ethics.This position reports to the Funds' Chief Compliance Officer.
Primary responsibilities include:
- Manage a global team of compliance professionals responsible for the evaluation and oversight of sub-advisers and third-parties supporting SSgA's various investment products.
- Manage the Firm's annual SSAE 16 controls examination process.
- Oversee compliance with Privacy, AML and Code of Ethics regulations.
- Serve as an expert resource on industry regulations and guidelines pertaining to Conflicts of Interest, Privacy, AML and Code of Ethics.
- Oversee the annual CCO Attestation process.
- Serve on various SSgA governance committees.
- Assist the Global CCO with updating and maintaining the SSgA Conflicts of Interest Register.
- Assist in the quarterly Regulatory Risk Assessment process, specifically providing feedback on the design and effectiveness of controls.
- Assist with Firm wide training programs as they pertain to Conflicts of Interest, Privacy, AML and Code of Ethics.
- Assist with special projects, as requested.
Job specifications:
- A Bachelor's Degree or equivalent
- A minimum of 6 years of experience in the evaluation and oversight of sub-advisers, Code of Ethics programs, Privacy programs and AML programs.
- Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and Regulation S-P
- Prior management experience and the ability to lead a team
- Excellent business writing skills, verbal communication skills and analytical skills
- Excellent organizational and project management skills
- Ability to travel
- A strong work ethic
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