State Street
Compliance Analyst, State Street Investment Management, Officer
State Street, Boston, Massachusetts, us, 02298
Compliance Analyst, State Street Investment Management, Officer
Join to apply for the
Compliance Analyst, State Street Investment Management, Officer
role at
State Street
State Street Investment Management (“SSIM”) is the investment management business of State Street Corporation, one of the world’s leading providers of financial services to institutional investors, with a heritage dating back over two centuries. The SSIM Compliance team works to ensure that SSIM meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues. This role is within the SSIM North America Compliance team in Boston. The role provides a hybrid opportunity (4 days on site, 1 day remotely).
Why this role is important to us The Compliance Advisory team plays a central role in safeguarding our clients, our funds, and our firm. The team you will be joining plays an important role in the overall success of the organization. This role will translate Corporate Compliance program requirements into day-to-day execution for SSIM and strengthen regulatory readiness—including board reporting, due diligence over third-party service providers, regulatory change management, and exam coordination. Success in this role directly supports the firm’s governance, regulatory posture, and operational resilience.
Key Responsibilities Include
Assisting in the oversight of investment advisors and other third‑party service providers; critically analyze findings from oversight activities for materiality, trends, and significant process design and operating deficiencies
Communicate findings from oversight activities to the Adviser CCO and Registered Funds CCO or pertinent Committees via summary memorandum or reporting
Prepare quarterly reporting to the various boards of trustees and legal entity boards
Monitor for regulatory changes and work with the business to determine if modifications to the control environment are required
Assist in supporting the SSIM Sales Practices compliance program, including reviewing firm advertising and sales literature, developing and communicating firm policies around social media usage, electronic communications and mobile device usage, and working on other sales‑related compliance projects
Help ensure that firm record‑keeping applications and controls remain robust and adequately meet regulatory requirements
Manage and respond to regulatory examinations and inquiries
Prepare semi‑annual compliance risk assessments for U.S. legal entities
Identify, evaluate and test controls that support various regulatory requirements
Collaborate with internal departments on strategic initiatives and product launches
Perform compliance oversight activities related to SSIM’s real estate and alternatives investment business
Assist in completing additional projects in support of the compliance program
These Skills Will Help You Succeed In The Role
Strong analytical, reading and writing skills with an acute attention to detail a must
Capable of producing high quality and/or final work product and solutions in a rapidly changing environment with tight deadlines, including the skill to prioritize and allocate projects and workflow to ensure timely and accurate delivery
Ability to maintain sensitive information
Ability to work both independently and collaboratively
Required Qualifications
Bachelor’s degree
Post‑graduate degree and/or 2 to 4 years of relevant experience
Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
Knowledge of the Commodity Exchange Act under the Commodity Futures Trading Commission and Rulebook of the National Futures Association is a plus
Knowledge of other U.S. and non-U.S. regulatory statutes is a plus
Proficient in Microsoft Word and PowerPoint and basic skills in Microsoft Access and Excel
Salary Range $65,000 – $102,500 Annual
About State Street 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. We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work‑life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most.
As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.
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.
Job ID: R-779160
Employees are eligible to participate in State Street’s comprehensive benefits program, which includes our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long‑term disability, and other optional additional coverages; paid‑time off including vacation, sick leave, short‑term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance‑based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax‑advantaged savings plans.
For a full overview, visit https://hrportal.ehr.com/statestreet/Home.
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Compliance Analyst, State Street Investment Management, Officer
role at
State Street
State Street Investment Management (“SSIM”) is the investment management business of State Street Corporation, one of the world’s leading providers of financial services to institutional investors, with a heritage dating back over two centuries. The SSIM Compliance team works to ensure that SSIM meets all regulatory requirements globally and is a trusted partner for clients on regulatory and compliance issues. This role is within the SSIM North America Compliance team in Boston. The role provides a hybrid opportunity (4 days on site, 1 day remotely).
Why this role is important to us The Compliance Advisory team plays a central role in safeguarding our clients, our funds, and our firm. The team you will be joining plays an important role in the overall success of the organization. This role will translate Corporate Compliance program requirements into day-to-day execution for SSIM and strengthen regulatory readiness—including board reporting, due diligence over third-party service providers, regulatory change management, and exam coordination. Success in this role directly supports the firm’s governance, regulatory posture, and operational resilience.
Key Responsibilities Include
Assisting in the oversight of investment advisors and other third‑party service providers; critically analyze findings from oversight activities for materiality, trends, and significant process design and operating deficiencies
Communicate findings from oversight activities to the Adviser CCO and Registered Funds CCO or pertinent Committees via summary memorandum or reporting
Prepare quarterly reporting to the various boards of trustees and legal entity boards
Monitor for regulatory changes and work with the business to determine if modifications to the control environment are required
Assist in supporting the SSIM Sales Practices compliance program, including reviewing firm advertising and sales literature, developing and communicating firm policies around social media usage, electronic communications and mobile device usage, and working on other sales‑related compliance projects
Help ensure that firm record‑keeping applications and controls remain robust and adequately meet regulatory requirements
Manage and respond to regulatory examinations and inquiries
Prepare semi‑annual compliance risk assessments for U.S. legal entities
Identify, evaluate and test controls that support various regulatory requirements
Collaborate with internal departments on strategic initiatives and product launches
Perform compliance oversight activities related to SSIM’s real estate and alternatives investment business
Assist in completing additional projects in support of the compliance program
These Skills Will Help You Succeed In The Role
Strong analytical, reading and writing skills with an acute attention to detail a must
Capable of producing high quality and/or final work product and solutions in a rapidly changing environment with tight deadlines, including the skill to prioritize and allocate projects and workflow to ensure timely and accurate delivery
Ability to maintain sensitive information
Ability to work both independently and collaboratively
Required Qualifications
Bachelor’s degree
Post‑graduate degree and/or 2 to 4 years of relevant experience
Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
Knowledge of the Commodity Exchange Act under the Commodity Futures Trading Commission and Rulebook of the National Futures Association is a plus
Knowledge of other U.S. and non-U.S. regulatory statutes is a plus
Proficient in Microsoft Word and PowerPoint and basic skills in Microsoft Access and Excel
Salary Range $65,000 – $102,500 Annual
About State Street 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. We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work‑life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most.
As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.
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.
Job ID: R-779160
Employees are eligible to participate in State Street’s comprehensive benefits program, which includes our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long‑term disability, and other optional additional coverages; paid‑time off including vacation, sick leave, short‑term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance‑based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax‑advantaged savings plans.
For a full overview, visit https://hrportal.ehr.com/statestreet/Home.
#J-18808-Ljbffr