Compliance Operations Director
7 days ago
About the Role:
State Street Corporation is seeking a seasoned Compliance Operations Director to join its Distribution Compliance team. This dynamic role will play a pivotal part in overseeing the organization's distribution and sales practices-related control environment, building a robust second line of defense, and mentoring junior staff globally.
The ideal candidate will possess a strong knowledge of the existing US regulatory framework (FINRA and SEC rules around the marketing of registered products) and a comprehensive understanding of the asset management or broker/dealer industry, services, and products.
This position will be based in Boston, MA, and involve working closely with the Chief Compliance Officer, business partners, and regulatory bodies to ensure compliance with global regulations.
Key Responsibilities:
- Designing and participating in compliance advisory reviews and testing activities
- Monitoring the global regulatory environment for new rulemaking pertaining to distribution and sales practices
- Overseeing annual and ad-hoc compliance training on key regulatory requirements and firm policies
- Supervising the review and updating of policies and procedures to ensure ongoing consistency with global regulatory requirements
- Maintaining constructive relationships with regulators and internal business partners
Requirements and Qualifications:
- A minimum of 5-7 years' relevant experience within asset management or broker/dealer compliance
- Strong communication skills, both verbal and written, with the ability to lead through influence
- Proactive and dynamic individual with a demonstrated ability to prioritize tasks, mentor junior team members, collaborate with peers, deal with ambiguity, and solve complex compliance issues
What We Offer:
- A competitive salary range of $110,000 - $185,000 per annum
- A wide range of benefits, including medical, dental, vision, life insurance, disability coverage, and more
- Ongoing professional development opportunities and access to employee networks
About State Street Corporation:
We are a leading financial services company that provides investment servicing, data & analytics, investment research & trading, and investment management to institutional clients. Our commitment to inclusion, diversity, and social responsibility is reflected in our values and practices.
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