Compliance Analyst, State Street Investment Management, Officer

Compliance Advisor

State Street Investment Management ("SSIM") is the investment 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 SSIM Compliance team works to ensure that SSIM meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues. This role is within the SSIM North America Compliance team in Boston. The role provides hybrid opportunity (4 days on site, 1 day remotely).

The Compliance Advisory team plays a central role in safeguarding our clients, our funds, and our firm. The team you will be joining plays an important role in the overall success of the organization. This role will translate Corporate Compliance program requirements into day to day execution for SSIM and strengthen regulatory readinessincluding board reporting, due diligence over third-party service providers, regulatory change management, and exam coordination. Success in this role directly supports the firm's governance, regulatory posture, and operational resilience.

Key Responsibilities include :

• Assisting in the oversight of investment advisors and other third party service providers; critically analyze findings from oversight activities for materiality, trends, and significant process design and operating deficiencies
• Communicate findings from oversight activities to the Adviser CCO and Registered Funds CCO or pertinent Committees via summary memorandum or reporting
• Prepare quarterly reporting to the various boards of trustees and legal entity boards
• Monitor for regulatory changes and work with the business to determine if modifications to the control environment are required
• Assist in supporting the SSIM Sales Practices compliance program, including reviewing firm advertising and sales literature, developing and communicating firm policies around social media usage, electronic communications and mobile device usage, working on other sales-related compliance projects
• Help ensure that firm record keeping applications and controls remain robust and adequately meet regulatory requirements
• Manage and respond to regulatory examinations and inquiries
• Prepare semi-annual compliance risk assessments for U.S. legal entities
• Identify, evaluate and test controls that support various regulatory requirements
• Collaborate with internal departments on strategic initiatives and product launches
• Perform compliance oversight activities related to SSIM's real estate and alternatives investment business
• Assist in completing additional projects in support of the compliance program

These skills will help you succeed in the role :

Required Qualifications

Salary Range : $65,000 - $102,500 Annual