Who we are looking for

The Transfer Agency North America team is seeking an experienced risk and compliance VP to help support the Transfer Agency operations team in all matters risk, governance and compliance and ensure alignment with global policies and manage relationships with our global partners.

The role is to be the primary point of contact as the First Line of Defense for North American Transfer Agency and manage stakeholder interaction with Corporate Compliance, Privacy, Risk, Legal and Audit to help with coordination, governance and issue resolution.

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 the this team helps to manage risk, identify solutions and support the business achieve its goals. 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 Vice President, Transfer Agency Global Oversight & Business Governance you will

• Primary point of contact as the First Line of Defence for North American Transfer Agency and manage stakeholder interaction with Corporate Compliance, Privacy, Risk, Legal and Audit.
• Provide governance, insight and challenge on Transfer Agency incident and issue resolutions and ensure timely execution of all resolution plans.
• Coordination of internal and external audits, SOC1 Reports, CCO attestation reports and regulatory exams for North America, connecting with management, corporate and operations stakeholders.
• Receive impacts of new and pending regulations from corporate partners; communicate relevant updates to TA Management and Business Development Manager.
• Manage projects to track and implement changes required by the changes to regulations.
• Manage responses to control testing conducted by corporate teams.
• Support the opening of Control Gap Findings based on deficiencies identified and support the identification and implementation of resolution plans.
• Partner with stakeholders to review the existing control framework and identify improvements in the control framework regionally and globally
• Support as required the governance of globally coordinated initiatives
• Perform other duties as assigned.

What we value

These skills will help you succeed in this role

• Taking Ownership and Initiative
• Ensuring accuracy and quality – detail oriented
• Strong organizational and analytical skills
• Time management skills – ability to prioritize
• Effective Communication
• Fostering Collaboration and Teamwork

Education & Preferred Qualifications

• BA/BS required with a minimum of 10 years’ experience in financial services; advanced degree is preferred.
• The incumbent must have 5 - 7 years’ transfer agent experience.
• The incumbent must have 3-5 years’ audit/compliance/relevant discipline experience.
• The incumbent should possess substantial operational background.
• The incumbent must possess superior written and verbal communication skills.
• The incumbent must possess strong analytical, problem-solving and organizational skills.
• The incumbent must possess strong interpersonal and influencing skills.

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 will help you reach your full potential.

Inclusion, Diversity and Social Responsibility.

We truly believe our employees’ diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

Discover more at StateStreet.com/careers

Salary Range:

$110,000 - $170,000 Annual

The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.

Job Application Disclosure:

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.

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