State Street Digital & GlobalLink
Responsibility for overseeing two global Compliance Oversight Programs within State Street's electronic exchange (GlobalLink) and digital assets (State Street Digital) businesses. Product coverage includes regulatory oversight for three globally regulated FX trading venues and activities designed to bridge traditional markets and infrastructure with emerging digital capabilities (e.g. Blockchain / Tokenization). Major responsibilities include:
- Develop and maintain relationships with National Competent Authorities, including the FCA, CFTC, MAS, OSC, HKMA, ASIC whilst ensuring that the firm has the required licenses / registrations and maintains compliance with applicable conditions.
- Identification of regulatory obligations applicable to or impacting the firm and provide stakeholders advice on risk management and mitigation strategies.
- Deploy risk assessment methodologies to evaluate the firms regulatory risk management programs - determine the overall regulatory risk posture and attend / present to boards, governance and risk committees.
- Responsible for successful issues management related to regulatory breaches, control failures or required remediation to improve overall regulatory risk posture.
- Develop, oversee and coordinate annual Compliance Risk Testing programs and resources, including associated management information reporting.
- Collaborate with compliance stakeholders across transversal risk programs (e.g. AML, Sanctions, Conduct) to prevent and detect potential breaches of the firms' policies, standards, legal or regulatory obligations.
- Compliance oversight of the business units Market Surveillance program, including trade and communications monitoring. Investigate, escalate and report to NCA's potential acts of market misconduct and/or financial crimes.