Compliance Officer, Assistant Vice President

2 weeks ago

Boston, Massachusetts, United States State Street Corporation Full time
Job Summary

We are seeking a highly skilled Compliance Officer, Assistant Vice President to join our Swap Dealer Compliance team at State Street Corporation. As a key member of our team, you will play a critical role in advising internal stakeholders on the implementation and development of Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) swap dealer requirements.

Key Responsibilities
  • Develop and implement compliance program elements, including policies and procedures, training, risk assessments, and issue management.
  • Assist in responding to regulatory inquiries, audits, examinations, and investigations, and liaise with regulators (CFTC & NFA).
  • Review and educate internal stakeholders on regulatory updates and engage in advocacy and industry discussions on swap dealer matters.
  • Advise the business on regulatory requirements, developments, and expectations across the swap dealer regimes, including swap data reporting, business conduct, recordkeeping, margin, and other areas.
  • Assist with the development of training for Swap Dealer Associated Persons to educate and remind employees of their obligations and expected behaviors.
  • Assist in drafting the CCO annual compliance report and presenting it to senior management.
  • Periodically assess the effectiveness of the relevant CFTC and NFA rules together with obligations, risks, and controls, including core compliance risk assessments.
  • Assist in developing monitoring and testing to review and challenge controls and implement obligations with Compliance and business teams, and work with Audit on ongoing reviews.
Requirements
  • Experience writing and implementing policies and procedures, management information, and reports.
  • Knowledge of financial services products, markets, laws, rules, and regulations relevant to OTC derivatives, FX, swaps, futures, and options is a plus.
  • Experience with the monitoring and testing of compliance programs.
  • Strong interpersonal skills and the ability to manage processes and drive change and accountability with key internal stakeholders.
  • Effective communicator with senior stakeholders both verbally and written, including experience delivering trainings.
  • Work effectively with personnel in different office locations and in different time zones.
  • Exceptional attention to detail and strong analytical skills.
  • Proficiency in Excel, PowerPoint, and Microsoft Office.
Education & Preferred Qualifications
  • Bachelor's degree.
  • Relevant work experience in Compliance, Legal, Audit, or Risk Management.
  • Knowledge of CFTC & NFA swap dealer regulations is a plus.

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