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AVP, BU Compliance Consultant - State Street Global Exchange
August 12, 2018
Play an integral role in improving and maintaining the compliance oversight program designed to ensure compliance with applicable rules and regulations governing the State Street Global Exchange business in APAC.
Liaise directly with business management and controls personnel to ensure controls are adequately documented and reflected in the reviews conducted.
Respond to queries/requests from business personnel with regard to applicable rules and regulations, as well as Corporate Compliance and Business Unit Compliance policies and/or procedures
Assist with monthly dashboard reporting to senior compliance and business management.
Assist with the creation of training materials and conduct training as necessary.
Develop strong working relationships with business management and local compliance officers in various locations.
Assist in updating policies and procedures to reflect changing regulatory requirements and business changes. Qualifications:
Must have the background and skills necessary to fulfill the responsibilities of the position and meet standards consisting of:
(i) A high degree of responsibility (ii) Integrity and honesty in financial and business dealings. (iii) Ability to work accurately and on own initiative
Candidates must have the leadership capability to take an active role in building a compliance infrastructure for an early stage business, and have prior experience either directly as a compliance officer or in a similarly situated role that directly supported first line business personnel in a financial institution. Knowledge of and experience with data-centered financial services products is very helpful.
Bachelor's degree or equivalent required. Advanced degree is a plus.