Compliance Analyst, Monitoring and Surveillance, Investor Services America, Officer

  • Company: State Street
  • Location: Quincy, Massachusetts
  • Posted: October 02, 2017
  • Reference ID: 169764
Compliance Analyst, Monitoring and Surveillance, Investor Services America

This role is part of Corporate Compliance and supports the Compliance Oversight Program for Investor Services America (ISA) reporting to the Business Aligned Compliance.

This position is well suited for an inquisitive individual with experience in preparing monthly reporting and who has a strong interest in joining a top tier financial services firm and building their compliance knowledge.

Responsibilities:
Supports the administration and execution of the Compliance Oversight Program for Investor Services America (ISA) meeting key deliverables. This includes updating the project plan validating controls with control owners tracking compliance deliverables preparing global reporting to senior management and developing and maintaining a schedule of program deliverables.
As required executes and documents assigned monitoring and surveillance activities.
Assists with preparing and delivering communications and trainings associated with the Compliance Oversight Program.
Assists in remediating identified compliance issues and documenting evidence.
Communicates effectively and works collaboratively with business unit management.
Develops working relationships with other members of Compliance and Compliance leadership team and works collaboratively with business unit managers.
Comprehends and is able to apply the Compliance Oversight Program methodology.
Prepares metrics and reporting dashboards.
Collaborates for creative solutions to issues and challenges identified through the Compliance Oversight Program methodology.
Gains mastery knowledge of the Compliance Regulatory Risk Assessment Procedure and Compliance Issue Procedure and is able to apply the procedural requirements.
Gains mastery knowledge of other State Street policies & procedures including Standard of Conduct Enforcement Procedure Personal Investment Policy and Global Anti-Corruption Policy.
Reviews marketing and collateral material for adherence to business unit policy.
Maintain and continuously develop knowledge around core products of business unit.
Participates in ad hoc compliance projects.
Bachelor's degree and 4-6 years of work experience related to financial services compliance and/or bank regulations
Strong business writing and verbal communication skills
Strong computer skills including proficiency with Excel and PowerPoint (pivot tables a plus)
Strong project management skills and an ability to drive to deadlines
Strong analytical skills and attention to detail
Experience with planning prioritization issue identification and resolution
Team player proactive adaptable self-motivated inquisitive
Ability to work and learn independently
Strong organizational and time management skills
Proficient in MS Office Suite (Outlook Excel Word Powerpoint etc.)
Sharepoint experience

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