State Street
Prime Brokerage Compliance Manager, Vice President
State Street, Jersey City, New Jersey, United States, 07390
Prime Brokerage Compliance Manager, Vice President
State Street Markets Compliance is seeking an experienced compliance professional to assist the Chief Compliance Officers (CCOs) to satisfy their regulatory obligations for prime brokerage and security-based swap dealer activities. The role must maintain and apply current knowledge of FINRA, NYSE, SEC, CFTC, and NFA rules and regulations. The position is responsible for supporting the business teams in the implementation of all required policies and assist with the compliance oversight of the Broker-Dealer’s prime brokerage activities and Swap Dealer’s security-based swap activities. This role will support the build out of prime brokerage capabilities conducted out of SSGM, LLC, a registered Broker-Dealer along with security-based swap activities conducted out State Street Bank and Trust. Responsibilities
Support the implementation of all required policies and assist with the compliance oversight of the Broker-Dealer’s prime brokerage activities and Swap Dealer’s security-based swap activities. Advise internal stakeholders on implementation and development of SEC, FINRA, prime brokerage requirements. Lead the development of relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting. Assist in the remediation of noncompliance matters. Requirements
Bachelor's Degree or Higher Required. Series 7 and 24 qualifications required (or the ability to retain within 6 months of hire). Minimum of 5 years’ experience in compliance, legal, risk control, or audit, specifically in Prime Brokerage or similar financial services areas. Strong knowledge of FINRA, SEC, NFA and CFTC rules and regulations. Ability to understand the compliance issues involved with the State Street Markets Business, prime brokerage, and security-based swap regulation. Salary Range: $130,000 - $212,500 Annual. It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
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State Street Markets Compliance is seeking an experienced compliance professional to assist the Chief Compliance Officers (CCOs) to satisfy their regulatory obligations for prime brokerage and security-based swap dealer activities. The role must maintain and apply current knowledge of FINRA, NYSE, SEC, CFTC, and NFA rules and regulations. The position is responsible for supporting the business teams in the implementation of all required policies and assist with the compliance oversight of the Broker-Dealer’s prime brokerage activities and Swap Dealer’s security-based swap activities. This role will support the build out of prime brokerage capabilities conducted out of SSGM, LLC, a registered Broker-Dealer along with security-based swap activities conducted out State Street Bank and Trust. Responsibilities
Support the implementation of all required policies and assist with the compliance oversight of the Broker-Dealer’s prime brokerage activities and Swap Dealer’s security-based swap activities. Advise internal stakeholders on implementation and development of SEC, FINRA, prime brokerage requirements. Lead the development of relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting. Assist in the remediation of noncompliance matters. Requirements
Bachelor's Degree or Higher Required. Series 7 and 24 qualifications required (or the ability to retain within 6 months of hire). Minimum of 5 years’ experience in compliance, legal, risk control, or audit, specifically in Prime Brokerage or similar financial services areas. Strong knowledge of FINRA, SEC, NFA and CFTC rules and regulations. Ability to understand the compliance issues involved with the State Street Markets Business, prime brokerage, and security-based swap regulation. Salary Range: $130,000 - $212,500 Annual. It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
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