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SSGA Compliance Analyst, Assistant Vice President 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 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 a Compliance Analyst Assistant Vice President (AVP) within its Regulatory Compliance team. The AVP will be responsible for providing assistance in the execution and oversight of SSGA's regulatory compliance activities.
Primary responsibilities will include:
Assisting in educating internal business partners on applicable federal securities rules and regulations, including Investment Advisers Act of 1940, Investment Company Act of 1940, Commodity Exchange Act, and other regulatory obligations for investment advisers, mutual funds, exchange traded funds, commodity pools, hedge funds, and other products
Assisting in the oversight, preparation, and/or filing of periodic bank, investment company, and investment adviser regulatory filings to satisfy client, regulator, and internal management requirements, including SEC Forms ADV, PF, NFA Form CTA PR as well as the Rule 206(4)-7 annual compliance program report.
Assisting in the oversight, preparation, and/or review of Fund and Legal Entity Board Reporting
Acting as a steward of regulatory compliance in governance committees
Research and impact analysis of new rules and regulations
Collaborate with business partners to resolve compliance issues
Perform ongoing monitoring of the adviser's activities to ensure consistency with regulatory requirements and the adviser's policies and procedures
Undergraduate college degree required; Juris Doctor degree is a plus
5-8 years of experience with compliance programs for an SEC registered investment adviser, registered investment companies or comparable experience.
Strong 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