Who we are looking for

With immediate effect we are looking for Compliance Advisory, Senior Associate to join State Street Global Advisors (“SSGA”) team in Boston, MA. SSGA is the asset management business of State Street Corporation, one of the world’s leading providers of financial services to institutional investors, with a heritage dating back over two centuries. The SSGA Compliance team works to ensure that SSGA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues. This role is within the SSGA Compliance team. The team is an extension of SSGA Compliance teams globally and provides compliance support to Compliance and Businesses in SSGA.

This role can be performed in Boston, MA (4 days on -site, 1 day remote).

Why this role is important to us

The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible for

As Compliance Advisory, Senior Associate, you will

Deliver on compliance responsibilities in support of the North America compliance program within SSGA, including:

Completing firm-level filing requirements with various regulators in North America, such as Form BD/Form BR (FINRA) and Form 7R (NFA) amendments

Completing filing requirements for individuals registered with various regulators in North America, such as the registration process for new, existing and terminated individuals including onboarding process (background checks, fingerprinting, drafting U4), U4/8R amendments, U5/8T terminations and state inquiries

Maintaining the individual registration roster and system of supervisory structure including making all changes due to hires/transfers/terminations and distributing the individual registration roster to the supervisory principals. including monitoring and reconciliation of registered persons lists

Monitoring and communication to registered individuals of their regulatory continuing education requirements

Administering the Outside Business Activity report process, including conduct risk management report review, Form U4 amendments and Star Compliance/NSRD system administration

Coordinating and administering annual tax payments process for all required individuals, which includes coordinating the payment of the taxes with Finance

Coordinating FINRA advertising review filings and coordinating FINRA letter responses in internal advertising repository system

Project management for large changes or enhancements, including regulatory changes, compliance program changes, or other corporate-wide transformation projects

Creating and maintaining procedures for functions performed

What we value

These skills will help you succeed in this role

Strong analytical thinking, problem solving, research, time management, and verbal and written communication skills, including an ability to actively communicate concerns

Strong technical skills for project management, creating presentations, reports, and data analytics

Demonstrated organizational skills (including being able to balance multiple tasks) and acute attention to detail

Collaborative by nature with the capability to help others achieve more

Ability to form and cultivate positive relationships with internal partners that motivates and inspires others

Strong sense of ethics and personal integrity

Education & Preferred Qualifications

2-4 years of work experience, preferably in the financial industry or asset management industry, with a focus on risk and compliance

Bachelor’s Degree from a reputed Institution

Strong MS Office technical skills including Excel, Work, PowerPoint, Teams

Experience creating reporting dashboards in data visualization programs (e.g., Tableau)

Recognized Financial, Compliance and/or Risk Certifications are an added advantage

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We truly believe our employees’ diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

Discover more at StateStreet.com/careers

Salary Range:

The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.

Job Application Disclosure:

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

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