Broker-Dealer Compliance Analyst, Assistant Vice President

Who we are looking for

Institutional Broker-Dealer is seeking an experienced compliance professional to join State Street Global Markets Compliance. The role must maintain and apply knowledge of FINRA/NASD, NYSE, SEC and MSRB rules and regulations. The position is responsible for supporting the business teams in the implementation of all required policies and assist the Chief Compliance Officer with the compliance oversight of the Broker/Dealer’s activities. This includes assisting with the FINRA Rule 3120 testing, State Street Compliance Risk Assessment and Registration processing.

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

State Street