Business Controls, Officer - State Street Investment Management

State Street•Boston, MA

1d•$65,000 - $113,750

About The Position

The Global Business Controls team is part of the first line of defense and supports the firm’s growth strategy through governance, risk management, regulatory oversight, and control execution. It partners with Sales, Legal, Compliance, Risk, Operations, and Product teams to help ensure business activities comply with regulatory requirements, internal policies, and industry practices. The Officer will independently lead complex initiatives, advise business stakeholders, take ownership of regulatory and control programs, and promote global consistency across business processes and governance activities. Responsibilities span contractual governance, sales-material approvals, policies and procedures, client due diligence, lobbyist registration, risk and control monitoring, and strategic process improvements. The stated annual salary range is $65,000–$113,750 for the primary location; the applicable range may differ for other locations. Employees are eligible for a comprehensive benefits program, including a 401(k) with company match; insurance coverage; paid time off; access to an Employee Assistance Program; incentive compensation eligibility; and certain tax-advantaged savings plans. The company also describes inclusive development opportunities, flexible work-life support, paid volunteer days, and employee networks.

Requirements

Bachelor’s degree.
Five to eight years of experience in financial services, asset management, risk management, compliance, audit, legal, governance, or related functions.
Experience interpreting policies, regulations, contracts, or legal documentation.
Demonstrated ability to independently manage multiple priorities and deliver results in a fast-paced environment.
Strong project management and organizational skills.
Exceptional verbal and written communication skills.

Nice To Haves

FINRA Series 7, 63, 24 and/or other principal registrations, and NFA Series 3; alternatively, ability to obtain registrations within six months.
Experience supporting investment management, institutional sales, or asset management businesses.
Familiarity with contractual governance programs, including MFN or fee-related reviews.
Experience with marketing material review, regulatory approvals, client due diligence, or attestation processes.
Experience developing or maintaining policies, procedures, and governance frameworks.
Exposure to regulatory registration programs, including FINRA, NFA, lobbying, or related filings.
Experience working across multiple jurisdictions and global stakeholder groups.
Paralegal and/or notary experience.

Responsibilities

Lead oversight and review of Most Favored Nation (MFN), pricing assurance, and other contractual obligations in partnership with Legal, Sales, and Compliance.
Establish and maintain globally consistent governance, documentation, tracking, and reporting for contract oversight and regulatory readiness.
Identify improvements to the efficiency, transparency, and risk management of contract governance activities.
Conduct risk-based reviews and approvals of sales and marketing materials for compliance with regulatory and internal requirements.
Partner with Sales, Product, Legal, and Compliance to address review comments and facilitate timely approvals.
Identify recurring sales-material review issues and recommend process improvements; support governance of business activities requiring risk, legal, or compliance review.
Own and enhance business policies, procedures, and governance frameworks, keeping them current, accurate, and globally aligned.
Lead periodic reviews and attestations; work with global stakeholders to identify gaps and establish consistent operating practices that support regulatory expectations and internal standards.
Manage client requests, attestations, certifications, and due diligence inquiries concerning controls, governance, regulatory matters, and business practices.
Partner with subject matter experts to provide accurate, consistent, and supported responses while maintaining documentation and evidence.
Own and enhance the firm’s lobbyist registration governance program and related regulatory obligations.
Establish sustainable governance, procedures, monitoring, reporting, and accountability for the lobbyist registration program with Legal, Compliance, Government Affairs, and business stakeholders.
Execute business control and monitoring activities; identify, assess, escalate, and drive remediation of operational, regulatory, and compliance risks.
Analyze incidents and control deficiencies, identify root causes, establish corrective actions, and drive remediation through closure.
Develop management reporting and constructively challenge actions, timelines, and outcomes where appropriate.
Independently lead complex projects and initiatives, evaluate processes, and implement practical solutions that strengthen controls while supporting business objectives.
Work with stakeholders to establish clear ownership and implement sustainable improvements.
Use technology, automation, data, and workflow solutions to improve efficiency, transparency, and control effectiveness.

Benefits

401(k) retirement savings plan with company match.
Basic life, medical, dental, vision, and long-term disability insurance, with optional additional coverages.
Paid time off, including vacation, sick leave, short-term disability, and family-care responsibilities.
Access to an Employee Assistance Program.
Eligibility for annual performance-based incentive awards, except certain sales roles subject to sales incentive plans.
Eligibility for certain tax-advantaged savings plans.
Inclusive development opportunities.
Flexible work-life support.
Paid volunteer days.
Employee networks.