Head of Investment Services and Global Markets Legal, EVP
1 month ago
Role Summary:
The Head of Investment Services (IS) and Global Markets (GM) Legal reports directly to the General Counsel for State Street and is responsible for oversight of all legal matters for the IS and GM business units and management of the legal teams dedicated to these businesses. The incumbent in the role serves as the primary legal advisor to the business areas’ executive teams. This role is responsible for managing risk by providing proactive commercial legal advice and counsel regarding business strategy and initiatives, controls infrastructure and other matters affecting the IS and GM businesses of State Street Corporation.
The IS and GM businesses together constitute State Street’s predominant business segment, Investment Servicing, representing more than 80% of State Street’s annual revenues and providing a range of services to institutional investors globally. Through State Street Investment Services, State Street Global Markets, State Street Alpha, and State Street Digital, this segment provides: back office products such as custody, accounting, regulatory reporting, investor services, performance and analytics; middle office products such as investment book of record, transaction management, loans, cash, derivatives and collateral services, record keeping, client reporting and investment analytics; investment manager and alternative investment manager operations outsourcing; performance, risk and compliance analytics; financial data management to support institutional investors; foreign exchange, brokerage and other trading services; securities finance, including prime services products; and deposit and short-term investment facilities.
The Head of IS and GM Legal will be expected to advise on a wide variety of topics including but not limited to major contracts, new products, strategic transactions, including mergers and acquisitions, joint ventures and strategic alliances, operations, control and risk management frameworks; and related litigation and product regulatory matters.
The IS and GM businesses have a significant and complex business and regulatory footprint outside North America and this role will work collaboratively with senior Legal management internationally to manage legal resources, counsel relevant business leaders and maintain, where permitted, a consistent approach to legal and business matters globally. In addition, State Street’s Legal Division is structured with several centralized functions charged with responsibility for legal support in specific disciplines, e.g., US bank regulatory, litigation, M&A, technology, human resources and procurement. This role will similarly work collaboratively with senior Legal management aligned with those disciplines to support the achievement of optimal commercial outcomes.
The Head of IS and GM Legal has direct line management responsibility for US-based legal professionals aligned with the businesses and has matrix management responsibility for legal professionals aligned with the businesses and based outside North America.
The Head of IS and GM Legal sits on the Legal, Corporate Administration, Regulatory and Security Group (LCARS) Executive Management Team and internal executive teams and committees aligned with the IS and GM businesses and other forums as determined in consultation with the General Counsel.
Key Responsibilities Include:
- Participate as a senior executive member of the IS and GM management teams, partnering with the business and control functions to advise on strategic initiatives, business practices, and legal issues.
- Advise IS and GM executive management on the legal, regulatory and reputational risks of possible business decisions; provide proactive advice with respect to emerging legal and regulatory risks associated with business practices; develop strategy with inside and outside counsel (as appropriate) in response to litigation and regulatory inquiries.
- Negotiate, document and implement with inside and outside counsel (as appropriate) a wide variety of complex, client and multi-party transactions and other contractual agreements.
- Provide innovative commercial legal solutions to internal and external client problems, anticipate and mitigate the impact of global regulatory change on the business, including its operating model, and enable the organization to innovate and effectively compete in a timely and efficient manner.
- Constructively challenge other senior leaders and modify perspectives with the benefit of insights presented by others, distilling a broad range of legal issues into a commercial legal strategy to support client and State Street requirements.
- Ensure timely reporting of relevant risks to LCARS senior leadership, senior management and the Board, as appropriate.
- Chair applicable company or business unit-wide committees.
- Hire, develop, manage and engage an experienced team of professionals.
- Develop and manage the planning and budgets for associated functions; provide oversight to outside counsel engagement and expenses.
- Participate constructively, with a solutions orientation, as a member of the LCARS senior leadership, providing perspectives and insights directed towards the overall benefit of the Division and State Street.
Qualifications:
- Minimum of 20 years of related global experience including significant tenure within the financial services industry in an executive capacity.
- Demonstrated experience practicing at a law firm, in-house, or at a government agency within financial services industry; preference for candidates that have experience working in-house with Fortune 500 public companies.
- Understanding of the asset servicing business through experience in acting as legal adviser to asset servicing, investment management or fintech firms.
- Extensive stakeholder management capabilities at the executive level include experience providing legal advice for services in developing and maintaining client relationships, product development or strategic relationships.
- Demonstrated track record of supervising experienced senior lawyers who provide strategic counsel.
- Proven interpersonal and communication skills at the executive level.
- Highly organized with extensive problem-solving, influence and negotiation skills.
- GSIB experience an asset.
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