SSGA Compliance Consultant, AVP
General Team Overview
This role will form part of a small team responsible for the compliance activities of State Street Global Advisors in Australia covering retail and wholesale funds and institutional mandates. The Compliance Officer will work closely with other team members to establish and maintain an appropriate compliance framework and support SSGA in complying with the laws and regulations applicable to its global business activities. This role reports to the Head of Compliance, SSGA Australia.
- Assisting with the review of all Marketing advertising material to ensure compliance prior to release
- Assist with the maintenance of breaches, complaints and training registers
- Assist in executing the Compliance Oversight Program by liaising with key stakeholders in the business and providing prompt advice and guidance on relevant policies and procedures
- AML/KYC knowledge would be well received including experience in dispositioning alerts
- Undertaking projects and initiatives as required
- Development and maintenance of good working relationships within the various divisions of State Street Corporation including Compliance in Boston, London and the Asia Pacific Region.
Education and Experience
- A minimum of 3 years compliance experience within the financial services sector preferably with retail managed funds experience in the Australian market.
- Finance, Legal and or Accounting qualifications to at least graduate level.
- Knowledge of managed investments schemes and AFSL requirements
- The ability to work autonomously and as part of a team
- Strong computer skills including knowledge of Microsoft applications
- Highly self-motivated and proactive
- Strong verbal and written communication skills with the ability to draft policies, procedures and training.
- A pragmatic and solutions driven approach
- A team player with a collaborative style
- Attention to detail and ability to work under pressure.
- Ability to work independently and collaboratively.