SSGA Compliance Analyst, Officer
Location:
Boston , Massachusetts
Posted:
December 14, 2017
Reference:
169219
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 2200 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:
    \t
  • \t\tReview and approve sales and advertising literature for registered products (Exchange Traded Funds and Mutual Funds)
  • \t
  • \t\tReview sales and marketing literature for non-registered institutional products
  • \t
  • \t\tServe as an internal expert resource on industry regulations and guidelines regarding advertising materials
  • \t
  • \t\tReview external and internal social media marketing to ensure internal policy and regulatory guidelines are met
  • \t
  • \t\tCollaborate with the investment advisor business and control functions to evaluate current processes identify areas for improvement and implement solutions
  • \t
  • \t\tEnsure that materials created for public use are filed with FINRA in a timely manner
  • \t
  • \t\tReview FINRA comment letters and ensure that they are resolved and responded to on a timely basis
  • \t
  • \t\tAssist in maintaining an electronic review system that is used for reviewing and recordkeeping all material in accordance with Record Retention requirements
  • \t
  • \t\tAssist in preparation for regulatory examinations
  • \t
  • \t\tProvide daily training interaction with new employees regarding Firm's policies procedures and regulatory requirements
  • \t
  • \t\tAssist with special projects as requested

    \t
  • \t\tA Bachelor's Degree or equivalent is required
  • \t
  • \t\tJD or MBA degrees preferred
  • \t
  • \t\tFINRA 7 and 24 licenses required
  • \t
  • \t\tThe individual should have a minimum of 1 year of experience in reviewing advertising and sales literature or in regulatory compliance
  • \t
  • \t\tExcellent verbal and written communication skills required
  • \t
  • \t\tThe individual must be a self-starter with excellent organizational and project management skills
  • \t
  • \t\tAbility to work independently and collaboratively


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.

Know someone who would be interested in this job? Share it with your network.