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 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 financial security. 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 141 professionals works to ensure that SSGA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues.
SSGA is currently recruiting an Assistant Vice President (AVP) within its Compliance Program team to report directly to the VP of Asia ex-Japan Compliance Team, based in Hong Kong. The SSGA Asia ex Japan Compliance team executes two Compliance Oversight Programs respectively for Hong Kong and Singapore. In addition, the compliance team provides investment compliance support to SSGA Asia Pacific including Hong Kong, Singapore, Australia and Japan.
Primary responsibilities include:
- Reviewing and researching applicability of new rules and regulations, bothlocal and global that may impact SSGA.
- Assisting in educating compliance and business personal on applicable compliance-related rules and regulations, including Securities and Futures Ordinance in Hong Kong, Securities and Futures Act in Singapore, QFII and RQFII related regulations in China, Financial Investment Services and Capital Markets Act in South Korea, Investment Advisers Act of 1940 and Investment Company Act of 1940 in United States, and other regulatory requirements for investment advisers, mutual funds, exchange traded funds, and other financial products.
- Monitoring, tracking, and working with the business to resolve compliance issues.
- Assisting in the preparation of various regulatory filings and reporting.
- Assisting in the implementation and oversight controls of privacy compliance, ethics compliance and AML related matters.
- Conducting compliance monitoring activities.
- Providing support to execution and continuous enhancement of SSGA's Compliance Oversight Programs.
- Assisting in the coordination, preparation, and filing of annual and periodic compliance program reports/reviews to satisfy client, regulator, and internal management requirements.
- Assisting and coordinating regional and global compliance projects from the initiation and planning stages through to execution and completion.
- Implementing, and administering compliance policies and procedures.
- A Bachelor's Degree or equivalent
- Juris Doctor Degree is a plus.
- 5-7 years of experience in the financial services industry.
- 5+ years of legal or compliance experience with Hong Kong rules and regulations. Knowledge of China, Singapore, South Korea and USA rules and regulations a plus.
- 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.
- Good excel and powerpoint skills.
- Competent levelof spoken Mandarin and reading/writing simplified Chinese.