Business Unit Compliance Manager, Assistant Vice President

State Street   •  

Boston, MA

Industry: Financial Services


5 - 7 years

Posted 390 days ago

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.

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.

Job Description

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 financialsecurity. 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 135 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).
• Assist in maintaining an electronic review system that is used for reviewing and recordkeeping all material in accordance with Record Retention requirements.
• Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials.
• Develop and implement effective methods and best practices for reviewing marketing communications.
• Remain current and anticipate changes in the regulatory environment and/or reputational risks to the firm that may affect the firm’s review standards and marketing communications.
• Provide daily training interaction with new employees regarding Firm’s policies, procedures and regulatory requirements. 
• Assist with special projects, as requested.
• Collaborate with the Global Product and Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions.


• A Bachelor's degree is required.
• Juris Doctor degree is a plus.
• FINRA 7 and 24 licenses are strongly preferred.
• Minimum of 4-6 years’ experience in asset management industry and understanding of securities laws.
• Strong analytical, organizational, interpersonal and communication skills.
• Ability to write concisely and persuasively.
• Detail and deadline oriented with the ability to operate effectively in a fast-paced environment.
• A great teammate, enthusiastic, adaptable, and self-motivated.
• Must be comfortable working with colleagues in different geographic regions, and/or different time zones.
• Proven control mindset – ability to design and implement robust procedures.

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