State Street partners with institutional investors all over the world to provide comprehensive financial services, including investment management, investment research and trading, and investment servicing.
- You will be a key member of the Compliance organization, located in Dublin or London
- Although the role will be focused predominantly on review of financial promotions and oversight of distribution strategies in the region, the individual will become involved in related aspects of the Compliance Programme including advisory work, training and the regulatory risk assessment process, as necessary
- You will also assist with preparation of compliance management information and reports
- This is a challenging role across multiple strategies and product types and offers opportunity for involvement in diverse cross-border institutional distribution strategies
- There is a limited retail element.
- Take a hands-on role in the review of financial promotions for a wide range of fund products including ETFs, index trackers, other UCITS funds and AIFs, providing a highly responsive level of support to business partners
- Lead the compliance review of pertinent elements of database supporting Request for Proposals (RFPs), Requests for Information (RFIs) and Due Diligence Questionnaires (DDQs) for institutional products. Provide other input as needed to facilitate completion of RFPs, RFIs and DDQs
- Review social media and digital marketing materials to ensure regulatory guidelines and internal policies are met
- Be the principal EMEA Compliance point of contact for global website teams
- Work closely with the Boston and Bangalore Compliance teams on pre-approval of materials intended for global/EMEA distribution
- Provide regulatory advice on the content of Key investor Information Documents (KIIDs) and Fund Fact Sheets (including retail)
- Lead a team, including performance management, succession planning, team development, motivation and retention
- Experience in dealing with remote line management and matrix management is valuable
- Collaborate with Boston and Bangalore Compliance, other control functions and the Global Product and Marketing teams to evaluate current processes, identify improvement areas and implement solutions
- Serve as an internal resource on industry regulations, guidelines and best practice regarding financial promotions in EMEA jurisdictions (principally the UK); advise the business in relation to client facing activities, sales & distribution and governance
- Participate in EMEA quarterly risk assessment workshops, involving review of the control environment for key existing or emerging regulatory risks for SSGA pertaining to marketing & distribution compliance
- Coordinate with Boston Compliance to develop and implement global standards and efficiencies, as appropriate, and take the lead in anticipating andimplementing changes within the EEA and other key jurisdictions in the EMEA region that impact marketing communications
- Contribute to the design and delivery of training and awareness on key elements of the marketing & distribution compliance programme
- Facilitate the review and update of policies and procedures relating to marketing
- Conduct monitoring activities and develop processes designed to achieve compliance with regulatory obligations and industry standards
- Assist in preparation for regulatory examinations
- Assist with special projects, as requested
- Display a culture of individual ownership of tasks
- Ensure the highest standard of behaviour in accordance with the Code of Conduct
- Support the ‘Risk Excellence’ culture.
Skills and Qualifications:
- You should be educated to degree level with extensive relevant experience within asset management compliance (8 years +)
- Additional professional, academic or relevant industry qualifications are desirable. Continental European language skills, though not mandatory, would be an advantage. You should have superior communication skills – both verbal and written. Experience in leading a team would be beneficial
- Comany is looking for an enthusiastic individual who has a demonstrated ability to prioritize tasks, deal with ambiguity and solve complex compliance issues. You will lead, motivate and develop a team. Collaborative leadership skills are required, to develop relationships at all levels.
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