CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
SSGA's Advisory Compliance team works to ensure that SSGA meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues. The Analyst will be responsible for providing assistance in the execution and oversight of SSGA's regulatory compliance activities. Primary responsibilities will include:
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 Forms CTA PR CPO PQR, as well as the Rule 206(4)-7 annual compliance program report.
Assisting in the preparation of memoranda and materials for various SSGA Funds Boards.
Perform ongoing monitoring of the adviser's activities to ensure consistency with regulatory requirements and the adviser's policies and procedures.
Assist in the implementation of new regulatory oversight initiatives and activities.
Collaborate with business partners to resolve compliance issues.
To act as a steward of compliance with our key business partners
Undergraduate college degree required. Secondary degree desirable.
3-5 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.