Job Details

Compliance Analyst Officer

Company name

State Street Corporation.

Organization Type

In-House

Job Type

Attorney

Date Last Verified

Aug 03,2018

Posted on

Jul 02,2018

Years of Experience

2-4 yrs required

Location

Stamford, CT
Practice Area
Corporate >> Corporate - Private Equity
Real Estate >> Real Estate
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Compliance Analyst, Officer The candidate’s responsibilities include performing ongoing due diligence on third party providers including alternative managers, monitoring compliance with federal securities law, and drafting summary memorandum and board reports for the Registered Funds CCO. This role will involve working with individuals throughout company’s global operations, as well as with senior level individuals at partner organizations. Will cover additional projects as needed to help execute the strategic direction of the department. Perform initial and ongoing due diligence activities for Private Equity and Real Estate direct deal investments to assess infrastructure and effectiveness of Compliance Program. Perform periodic due diligence activities such as the review of due diligence questionnaires and certifications for OCIO external managers. Analyze findings for materiality, trends, and significant process design and operating deficiencies. Communicate findings from oversight activities to the Registered Funds Chief Compliance Officer and/or a delegate or pertinent Committees via summary memorandum or reporting. Perform reviews of background checks pertaining to Private Equity and Real Estate direct investments. Identify and escalate material findings. Manage annual and new hire certification process for Real Estate Investment Team. Manage Information Wall memo process and restricted securities watchlist; prepare and present quarterly summaries. Assist company’s Registered Funds CCO Office Team with preparation of Board materials. Monitor compliance with the Global State Street Mobile Communication Device Policy within Designated Trading Floor Areas. Manage and respond to Regulatory Examinations and Inquiries. Identify, evaluate and test controls that support various regulatory requirements. Maintain periodic communications with Operational Due Diligence (ODD) and Alternative Investments Teams. Provide guidance to business partners on internal initiatives and product launches.

Qualification and Experience

The candidate should have a Bachelor’s degree. Juris Doctor, MBA, or 2 - 4 years of experience. Strong analytical, reading and writing skills with an acute attention to detail a must. Knowledge of the Alternative Investments, the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus. Demonstrated organizational skills, including being able to balance multiple tasks. Ability to maintain sensitive information. Ability to work both independently and collaboratively. Proficient in Microsoft Word, Excel and PowerPoint. Should be able to synthesize disparate information and react quickly to new data presented.

Additional info

Requisite no - R-589243

Company info

Hiring Coordinator
State Street Corporation.
1 Lincoln St
Boston, MA 2111

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