Job Purpose:

  • SSGA is currently recruiting a Global Head of Compliance Regulatory Analysis Vice President (VP) within its Compliance Program team
  • The VP will be responsible for providing assistance in the execution of a compliance program of an investment adviser and supporting SSGA’s compliance program for its existing investment advisory activities.

Your Responsibilities:

  • Leading a global functional team that analyzes changes in global regulation and assess the impact to SSGA, including
  • Overseeing the SSGA Global Regulatory Change Management Process
  • Providing formal reporting to Legal Entity Boards, informing Compliance Officers of Legal Entities of relevant regulatory changes to their business areas
  • Providing updates to SSGA Committees and SSGA senior management on significant regulatory developments, industry peer events, and exam priorities
  • Supporting the internal risk assessment process (INRFA) by providing input on how the regulatory environment should impact inherent risk scores of business risk
  • Creating the SSGA Compliance Newsletter that provides regulatory update Policy reminders, and training information to all SSGA employees
  • Assisting the Broker-Dealer (BD) CCO in the execution of the Broker-Dealer Compliance Program by maintaining the Written Supervisory Procedures in accordance with FINRA standards, creating Compliance training for SSGA registered representatives, coordinating regulatory exams for the BD CCO, and collaborating with the Compliance Risk Monitoring Team to design effective monitoring of the BD
  • Supporting the SSGA Global Distribution Compliance Head in the management of SSGA sales practices, with a focus on SEC and FINRA regulations governing sales & marketing material, suitability, RFPs, and blue sky regulations governing cross-border sales activity
  • Providing advice, guidance, and issue resolution support directly to SSGA senior leadership in support of the SSGA CCO, focusing specifically of the SSGA BD CEO and the heads of the Global Institutional Group and SPDR ETF organization
  • Delivering CAO support to the SSGA CCO in creating an efficient, effective, and diverse organizational model by leading organizational redesigns, conducting staff assessments, assessing spans and layers, promoting diversity, and overseeing the SSGA Compliance budget.

Skills and Qualifications:

  • Undergraduate college degree required
  • Juris Doctor degree is a plus
  • 5-8 years of experience with compliance programs for SEC registered investment advisers and SEC registered investment companies or comparable experience
  • Understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
  • Strong communication and interpersonal skills
  • Strong abilities in analytical thinking, problem solving, research, and time management
  • Excellent attention to detail required
  • Ability to manage multiple simultaneous tasks in a high-pressure, deadline-driven environment
  • Ability to work both independently and collaboratively
  • Team player.

Source: for more information click here.

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