Compliance Analyst, Investment Management, Officer

Who We Are And Who We Are Looking For
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).

Why this role is important to us
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 readiness–including 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

• Strong analytical, reading and writing skills with an acute attention to detail a must
• Capable of producing high quality and/or final work product and solutions in a rapidly changing environment with tight deadlines, including the skill to prioritize and allocate projects and workflow to ensure timely and accurate delivery
• Ability to maintain sensitive information
• Ability to work both independently and collaboratively

Required Qualifications

• Bachelor's degree
• Post-Graduate degree and/or 2 to 4 years of relevant experience
• Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
• Knowledge of the Commodity Exchange Act under the Commodity Futures Trading Commission and Rulebook of the National Futures Association is a plus
• Knowledge of other U.S. and non-U.S. regulatory statutes is a plus
• Proficient in Microsoft Word and PowerPoint and basic skills in Microsoft Access and Excel

Salary Range
$ $ 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.

Employees are eligible to participate in State Street's comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.
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About State Street
Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you'll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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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.

Job ID: R-779160