Global Head of Marketing Compliance
5 days ago
SSGA is seeking a Global Head of Marketing Compliance (VP) to support the Firm's Marketing and Advertising Reviews. The VP will be responsible for facilitating the day-to-day operations of the Firm's marketing compliance program, including directly overseeing reviews of advertising and marketing materials (including social media) for the Firm's Registered Investment Adviser and Broker-Dealer, and monitoring marketing activities to promote compliance with internal policies, applicable rules and regulations. This VP role will work collaboratively across the business to ensure that SSGA's external communications, marketing, and advertising comply with all global regulations. The VP will need to successfully engage and mentor a junior staff of compliance professionals, globally.
The successful candidate will be a key member of the Compliance organization. They will report directly to Brian Harris, Chief Compliance Officer of SSGA Funds Management, Inc., SSGA's 40 Act Funds, and SSGA Canada. The role will be performed in Boston, MA (4 days onsite, 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:
- Partner with Communications, Marketing, and Sales to ensure compliance with the Firm's policies and procedures and to assist with efficient functioning of marketing materials delivery and workflows.
- Ensure all communications comply with applicable regulatory guidelines and are filed in timely and accurate manner.
- Implement processes related to marketing and distribution activity to maintain quality and accuracy.
- Monitor ongoing regulatory actions and requirements to ensure that team members are conducting business with the most up-to-date industry knowledge.
- Perform targeted compliance reviews on specific product type compliance requirements, including web and document disclosures, and other regulatory and compliance requirements.
- Support the Firm's compliance program under Rules 38a-1 of the Investment Company Act of 1940 and 206(4)-7 of the Investment Advisers Act of 1940.
- Effectively work and communicate across all levels of the organization.
Education & Preferred Qualifications
- 8+ years of experience reviewing different types of marketing materials including, registered fund materials, website & social media content, customized investor presentations and distribution of materials for retail and institutional investors.
- Relevant knowledge and/or work experience with a variety of product types including mutual funds, exchange-traded funds, CITs/CTFs, UCITS, alternative investment vehicles, and private funds is required.
- Strong understanding of the regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance.
- Knowledge of US ETF & ETP regulatory environment, including Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Exchange Act of 1934, and Securities Act of 1933
- Bachelor's degree with strong academic achievement.
- JD or other advanced degree preferred.
What we value
- proactive and dynamic individual with strong verbal and written communication skills
- demonstrated ability to prioritize tasks, mentor junior team members, collaborate with peers, deal with ambiguity
- ability to solve complex compliance issues in a fast pace environment.
What we offer
Wide range of benefits, including:
• Medical
• Prescription Drug
• Health Savings Account (HSA)
• Flexible Spending Accounts (FSAs)
• Dental
• Vision
• Employee-Paid Life and Accidental Death & Dismemberment (AD&D) Insurance
• Employee-Paid Long-Term Disability
• Critical Illness Insurance
• Accident Insurance & Hospital Indemnity Insurance
• Business Travel Accident Insurance
• Short-Term Disability
• Identity Theft Protection
• Legal Benefits
• BeWell Programme
• Paid Time Off
• Employee Assistance Program (EAP)
• Salary Savings Program (SSP)
Are you the right candidate? Yes
We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don't necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.
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:
$110 000 - $185 000 Annual
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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