Who we are looking forWe are looking for an experienced leader responsible for ensuring regulatory compliance within North American Transfer Agency operations. This is an exciting opportunity to join the Institutional Transfer Agency leadership team and help shape our future-state model as we implement strategic enhancements.
What you will be responsible forAs a Transfer Agency Compliance, Vice President you will:
- Develop and maintain a strong understanding of Transfer Agency operational practices, ensuring ongoing compliance with all applicable regulatory requirements.
- Ensure compliance with Transfer Agency regulatory requirements and filings, including 17Ad-16 notices, lost shareholder searches, TA-2, and TA-1 filings, as needed.
- Research the impact of new and pending regulations, communicate relevant updates to Transfer Agency management, and manage projects to track and implement required regulatory changes.
- Act as the main point of contact between Transfer Agency and Corporate Compliance, Privacy, Risk, Legal, and Audit,
- Oversee the delivery of compliance-related value-added services, including Rule 22c-2 monitoring.
- Oversee the effective design and completion of operational control audits, including as-of audits, after-cut-off audits, certificate destruction audits, and related reviews.
- Ensure proper oversight and governance of outsourced providers and international branches performing Transfer Agency operations.
- Review and maintain the Transfer Agency Legal Manual and Regulatory Matrix, and support ongoing employee training to promote a strong culture of risk awareness and adherence to controls.
- Recommend control enhancements, risk strategies, and process improvements that maintain a strong control environment while improving efficiency.
- Participate in industry groups and provide documentation and updates on relevant topics.
- Critically assess current- and future-state operations, recommend improvements, and drive change.
- Maintain effective internal and external relationships with key stakeholders, serving as an escalation point as needed.
- Ensure all team deliverables are met within assigned deadlines, maintain procedures and team checklists, and ensure adherence to standard operating procedures and controls.
- Support other projects or tasks as assigned.
What we value These skills will help you succeed in this role
- Strong written and verbal communication skills, with the ability to explain complex topics to both senior management and operational teams.
- Ability to influence others and drive execution.
- Prior experience with registered transfer agency regulatory compliance practices.
Education & Preferred Qualifications- Bachelor's degree or equivalent
- 10+ years' experience
Salary Range: $115,000 - $201,250 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.
For a full overview, visit https://hrportal.ehr.com/statestreet/Home.
