State Street - Associate Vice President - Investment Compliance

Company Overview

State Street Corporation (NYSE: STT) is the world's leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $28.40 trillion in assets under custody and administration and $2.48 trillion in assets under management as of June 30, 2014, State Street operates globally in more than 100 geographic markets and employs 29,420 worldwide. For more information, visit State Street's website at www.statestreet.com.

Promoting a culture of excellence

With more than 29,420 employees across 29 countries, at State Street, our people are our greatest asset. We recognize that highly skilled, engaged and productive employees are essential to our success. Our company values reflect our commitment to employee engagement, Global Inclusion and corporate social responsibility - to help you build a fulfilling career. Around the world, we aim to be an employer of choice by offering competitive compensation and benefits, personal and professional development opportunities, and a work environment that promotes a diverse array of people, ideas and skills. We're a company that insists on, and rewards, performance excellence. We know our success hinges on attracting the best people to join us - people like you.

State Street supports flexible work arrangements where determined feasible, consistent with business and operational needs. Subject to an individualized assessment of these considerations, roles may be identified as potentially suited for a flexible work arrangement. Requests for a flexible work arrangement can be made upon hire. All employees at State Street have the ability to request flexible work arrangements, with the final decision based solely on business discretion and subject to management approval. More information is available here. We encourage you to explore the possibilities that a career at State Street can offer you.

State Street is an Equal Opportunity Employer, and prohibits discrimination against applicants or employees on the basis of any legally protected characteristic.

Purpose of the Job (list the primary job duties and responsibilities)

- The purpose of the job is to provide end to end support to investment company clients & their Compliance teams meaningful insights into funds ability to comply with SEC requirements and also the compliance with guidelines given in the prospectus and Statement of Additional Information (SAI).

Roles and Responsibilities (list the primary job duties and responsibilities)

- Oversee the preparation and dissemination of investment compliance results to clients, auditors and regulatory authorities.

- Manage day-to-day activities and controls to ensure consistency of policies and adherence to procedures.

- Perform secondary review of compliance alerts/warnings and escalate issues, as appropriate

- Act as key escalation point for operational issues and provide technical expertise to resolve.

- Proposes and works to implement workflow changes and supporting technical solutions leading to improved productivity and profitability.

- Keeps abreast of regulatory compliance and developments for the assigned area and apprises staff as necessary.

- Recommends procedural changes as needed to support prescribed requirements.

- Manages direct reports on an ongoing-basis.

- Create and use quality service measurement tools to ensure compliance with operational standards with SLAs and SOPs.

- Monitors projects to ensure completion on schedule and within budget.

- During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.

- Conducts periodic performance reviews; provides ongoing counsel, training, development and motivation of staff.

- Participates in the hiring, salary, promotional and termination recommendation process