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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
3-5 yrs required
SSGA Business Unit Compliance Manager (Sales and Advertising), Assistant Vice President The candidate will assist in mitigating risks associated with sales and distribution activities for SSGA. Assist in maintaining an electronic review system that is used for reviewing and recordkeeping all material in accordance with Record Retention requirements. Serve as an internal expert resource on industry regulations and guidelines regarding sales practices and distribution issues. Develop and implement effective methods and best practices, including developing policies and procedures, with respect to sales practices matters. Remain current and anticipate changes in the regulatory environment and/or reputational risks to the firm that may affect the firm’s business practices. Serve as mentor to junior staff, including providing training interactions with new employees regarding the Firm’s policies procedures and regulatory requirements. Assist with special projects as requested. Collaborate with SSGA business partners and control functions to evaluate current processes identify areas for improvement and implement solutions.
Qualification and Experience
The candidate should have a Bachelor's degree. Should have a Juris Doctor degree is a plus. FINRA 7 and 24 licenses are strongly preferred. Should have 3-5 years of experience in the asset management industry and understanding of securities laws. Strong analytical organizational interpersonal and communication skills. Ability to write concisely and persuasively. Detail and deadline-oriented with the ability to operate effectively in a fast-paced environment. A great teammate enthusiastic adaptable and self-motivated. Must be comfortable working with colleagues in different geographic regions and/or different time zones. Proven control mindset – ability to design and implement robust procedures.
JOB ID: R-673655.
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