Uk Advisory Compliance, Assistant Vice President

2 weeks ago

London, United Kingdom State Street Full time

Who we are looking for

The State Street Global Advisors is seeking a talented individual to join our UK Advisory Compliance team, reporting to the UK Head of Compliance. Sitting in the second line of defense, you will be responsible for providing expert guidance and support to ensure the State Street Global Advisors UK entities comply with relevant laws and regulations across business areas such as investments, investment operations, sales, marketing and project management.

This role can be performed in a hybrid model, where you can balance work from home and office to match your needs and role requirements.

Why this role is important to us

The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible for

As UK Advisory Compliance you will
- Work closely with the first line to provide advice to the business on regulatory requirements related to sales and distribution, operations, investments, and outsourcing, taking a proactive role in driving new business initiatives
- Conduct regulatory horizon scanning and provide guidance on regulatory implementation
- Support the production of regular and ad-hoc Management Information across the Function
- Understand how the firm’s risk appetite and risk culture should be considered in day-to-day activities and decisions

What we value

These skills will help you succeed in this role
- Proactive, growth mindset
- Detail oriented
- Strong critical thinking, problem solving, and decision making skills
- Strategic mindset
- Proven track record of developing and implementing compliance programs

Education & Preferred Qualifications
- Degree or equivalent education in a related field
- At least three years of experience in compliance or a related field with knowledge of the UK regulatory landscape
- Experience across a range of compliance disciplines such as monitoring, governance and regulatory filings will be particularly helpful.
- Specific knowledge and, where possible, practical exposure to a wide range of topics in the FCA handbook such as COBS, COLL, PROD, MAR, SYSC, CASS, SUP and MIFIDPRU. Awareness of EU requirements such as MIFID II, UCITS and AIFMD as well as those of other international regulatory regimes will be important considering global asset management environment that SSGA UK represents.
- Any knowledge of regulatory regimes in the middle east a plus

We offer:
Core Benefits:

- Non-contributory pension scheme (we will pay 6% into your pension if you are 30 and 9% if you are 30+. The pension does not require a contribution from you).
- Private Medical Insurance - Single person Private Medical Insurance with AXA paid for by State Street.
- Long Term Disability Cover
- 26 days holidays at Officer level or after 3, 4, 5 years’ service increasing a day a year
- One additional day in lieu for birthdays
- Annual season ticket loan
- Long Term disability and Life Assurance.
- Employee Assistance Program
- Participation in the State Street bonus scheme

Non-Core Benefits:

- Travel Insurance
- Critical Illness cover
- Dental Insurance
- Personal Accident Cover
- Childcare Vouchers
- Holiday Buy/Sell scheme

We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don’t necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we’re making our mark on the financial services industry. For more than two centuries, we’ve been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You’ll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support wi

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