Transfer Agency Compliance, Vice President

Who we are looking for

We are looking for an experienced leader responsible for ensuring regulatory compliance within North American Transfer Agency operations. This is an exciting opportunity to join the Institutional Transfer Agency leadership team and help shape our future-state model as we implement strategic enhancements.

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 a Transfer Agency Compliance, Vice President you will:

• Develop and maintain a strong understanding of Transfer Agency operational practices, ensuring ongoing compliance with all applicable regulatory requirements.

• Ensure compliance with Transfer Agency regulatory requirements and filings, including 17Ad-16 notices, lost shareholder searches, TA-2, and TA-1 filings, as needed.

• Research the impact of new and pending regulations, communicate relevant updates to Transfer Agency management, and manage projects to track and implement required regulatory changes.

• Act as the main point of contact between Transfer Agency and Corporate Compliance, Privacy, Risk, Legal, and Audit,

• Oversee the delivery of compliance-related value-added services, including Rule 22c-2 monitoring.

• Oversee the effective design and completion of operational control audits, including as-of audits, after-cut-off audits, certificate destruction audits, and related reviews.

• Ensure proper oversight and governance of outsourced providers and international branches performing Transfer Agency operations.

• Review and maintain the Transfer Agency Legal Manual and Regulatory Matrix, and support ongoing employee training to promote a strong culture of risk awareness and adherence to controls.

• Recommend control enhancements, risk strategies, and process improvements that maintain a strong control environment while improving efficiency.

• Participate in industry groups and provide documentation and updates on relevant topics.

• Critically assess current- and future-state operations, recommend improvements, and drive change.

• Maintain effective internal and external relationships with key stakeholders, serving as an escalation point as needed.

• Ensure all team deliverables are met within assigned deadlines, maintain procedures and team checklists, and ensure adherence to standard operating procedures and controls.

• Support other projects or tasks as assigned.

What we value

These skills will help you succeed in this role

• Strong written and verbal communication skills, with the ability to explain complex topics to both senior management and operational teams.

• Ability to influence others and drive execution.

• Prior experience with registered transfer agency regulatory compliance practices.

Education & Preferred Qualifications

• Bachelor’s degree or equivalent

• 10+ years’ experience

Salary Range:

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

Employees are eligible to participate in State Street’s comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.

For a full overview, visit https://hrportal.ehr.com/statestreet/Home.

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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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.