Compliance Policy & Advisory, Assistant Vice President

Compliance Officer, AVP We are looking for a highly motivated and experienced Compliance Officer, AVP to join our dynamic Bank Policy & Advisory (BP&A) team in Corporate Compliance. The ideal candidate will have subject matter expertise in Regulation W and Regulation U with other general knowledge of core banking regulations. This role requires experience in the management of compliance risk through a compliance risk management framework and the design and execution of oversight / monitoring activities to demonstrate the effectiveness of policy implementation, strong organizational skills to drive efficiency and consistency of policy administration, governance, and reporting, and the skillset to understand regulatory obligations and their application to the organization to advise on adherence to the aligned policies and supporting regulations. The remit of the BP&A team is global, high profile and fast-paced. The role involves frequent interaction with senior management of State Street, thus exceptional verbal and written communication skills are critical. Due to the footprint of the team, this role will be performed from Boston, Kansas City or Princeton office, providing opportunity for hybrid model (4 days onsite, 1 day remote). 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. As Compliance Policy & Advisory, AVP you will: Develop and review each policy to ensure they accurately reflect the driving regulatory obligations and outline the minimum requirements for the organization to comply. Additionally, support efficient implementation and dissemination of owned policies and ensure alignment with internal standards; Perform periodic reviews of global compliance policies in a timely, consistent and transparent fashion and present policies to the Compliance Policy Working Group. Liaise with a diverse set of members representing the views of the Compliance Leadership Team, management, impacted Business Lines/Risk Units, and Regulatory Legal; Enhance and facilitate the oversight of policy implementation through the design and execution of advisory reviews / continuous monitoring; Assist with the creation of training content aligned with global compliance policies; Provide independent oversight, review, and challenge to the organization's processes and controls that pertain to the policies and associated regulatory requirements; Contribute to the organization's Strategic Compliance Initiatives; Provide inputs to other compliance functions in support of the execution of the overall Compliance Oversight Program, e.g. Core Compliance Risk Assessment, Compliance Risk Testing. These skills will help you succeed in this role: Positive attitude; responsive to requests Takes a high level of initiative and ownership of responsibilities, has a sense of urgency, and proactively works to gain a thorough understanding of all relevant regulatory requirements and associated deliverables and deadlines Ability to effectively prioritize multiple tasks, with strong time management and organizational skills Exceptional attention to detail with strong interest and experience in banking regulatory analysis, policy review and policy writing Exceptional written and verbal communication skills; Able to interact with all levels of staff and management Works collaboratively across multiple locations with global stakeholders Able to work independently, with minimal need for supervision; understands entire process and proactively takes next steps without waiting for direction; asks questions to ensure a thorough understanding Flexible, open to change and willing to learn new processes and systems Education & Preferred Qualifications: 5 -7 years of relevant experience, Juris Doctor preferred Technical Skills: Microsoft Office (Outlook, Word, PowerPoint, Excel); Share Point (Collaborate) Wide range of benefits, including: Medical Prescription Drug Health Savings Account (HSA) Flexible Spending Accounts (FSAs) Dental Vision Employee-Paid Life and Accidental Death & Dismemberment (AD&D) Insurance Employee-Paid Long-Term Disability Critical Illness Insurance Accident Insurance & Hospital Indemnity Insurance Business Travel Accident Insurance Short-Term Disability Identity Theft Protection Legal Benefits BeWell Program Paid Time Off Employee Assistance Program (EAP) Salary Savings Program (SSP) Salary Range: $80 000 - $140 000 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.

Created: 2026-03-06