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.
Our promise to maintain an environment where every employee feels valued and able to meet their full potential infuses our company values. It's also part of our commitment to inclusion, development and engagement, and corporate social responsibility. You'll have tools to help balance your professional and personal life, paid volunteer days, and access to employee networks that help you stay connected to what matters to you. Join us.
State Street is an Affirmative Action/ Equal Opportunity Employer/Vet/Disability.
State Street Global Advisors (SSGA) is a global leader in institutional asset management, entrusted with more than $2.4 trillion in assets. For more than three decades, sophisticated investors worldwide have benefited from our disciplined, precise investment process and powerful global platform offering access to every major asset class, capitalization range and style across the indexing and active spectrums. Our mission, plain and simple, is helping our clients achieve financial security. Since this means something different for each investor, we devote significant time up front to thoroughly understand their specific needs, and then apply our experience and intellectual rigor across a broad toolkit to develop and manage thoughtful, targeted solutions aimed at ensuring their success. The firm employs more than 2,200 people globally in 17 countries, and has nine investment centers across the Americas, Europe and Asia.
SSGA is the investment management arm of State Street Corporation, one of the world's leading providers of financial services to institutions.
SSGA's Compliance team of approximately 130 professionals works to ensure that SSGA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues.Primary responsibilities include:
- Review and approve sales and advertising literature for registered products (Exchange Traded Funds and Mutual Funds)
- Review sales and marketing literature for non-registered institutional products
- Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials
- Review external and internal social media marketing to ensure internal policy and regulatory guidelines are met
- Collaborate with the investment advisor business and control functions to evaluate current processes, identify areas for improvement, and implement solutions
- Ensure that materials created for public use are filed with FINRA in a timely manner
- Review FINRA comment letters and ensure that they are resolved and responded to on a timely basis
- Assist in maintaining an electronic review system that is used for reviewing and recordkeeping all material in accordance with Record Retention requirements
- Assist in preparation for regulatory examinations
- Provide daily training interaction with new employees regarding Firm's policies, procedures and regulatory requirements
- Assist with special projects, as requested
- A Bachelor's Degree or equivalent is required
- JD or MBA degrees preferred
- FINRA 7 and 24 licenses required
- The individual should have a minimum of 1 year of experience in reviewing advertising and sales literature or in regulatory compliance
- Excellent verbal and written communication skills required
- The individual must be a self-starter, with excellent organizational and project management skills
- Ability to work independently and collaboratively
Job Opening ID
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A little about us:
We hire veterans to help us transform--improve and innovate--the way we run our business to face industry challenges head-on.