Business Controls, Officer

Position: Business Controls, Officer - State Street Investment Management

The Global Business Controls team is part of the first line of defense and plays a critical role in supporting the firm's growth strategy through effective governance, risk management, regulatory oversight, and control execution. The team partners closely with Sales, Legal, Compliance, Risk, Operations, and Product teams to ensure business activities are conducted in accordance with regulatory requirements, internal policies, and industry best practices.

We are seeking an experienced Officer to join the Global Business Controls team. This role is designed for a high-performing professional who has demonstrated strong ownership, sound judgment, and the ability to independently lead complex initiatives. This position offers significant visibility across the organization and the successful candidate will be expected to quickly become a trusted advisor to business stakeholders, take ownership of key regulatory and control programs, and help drive global consistency across business processes and governance activities.

Key Responsibilities Contract Governance and Most Favored Nation (MFN) Oversight

• Lead the review and oversight of Most Favored Nation (MFN), pricing assurance, and other contractual obligations, partnering with Legal, Sales, and Compliance to assess commitments and associated risks.
• Establish and maintain globally consistent governance, documentation, tracking, and reporting to support effective oversight and regulatory readiness.
• Identify opportunities to improve efficiency, transparency, and risk management related to contract governance activities.

Sales Material Review and Business Approvals

• Perform risk-based review and approval of sales and marketing materials to ensure compliance with regulatory and internal requirements.
• Partner with Sales, Product, Legal, and Compliance teams to address review comments and facilitate timely approvals.
• Identify recurring issues and recommend improvements to the review and approval process.
• Support governance around business activities requiring risk, legal, or compliance review.

Policies, Procedures, and Governance

• Own and enhance the business’s policies, procedures, and governance frameworks, ensuring they remain current, accurate, and globally aligned.
• Lead periodic reviews and attestations and work with global stakeholders to identify gaps and establish consistent, sustainable operating practices and support regulatory expectations and internal standards.

Client Due Diligence and Attestations

• Manage responses to client requests, attestations, certifications, and due diligence inquiries related to controls, governance, regulatory matters, and business practices.
• Partner with subject matter experts to deliver accurate, consistent, and well-supported responses while maintaining appropriate documentation and evidence.

Lobbyist Registration Program Management

• Own and enhance the firm's lobbyist registration governance program and related regulatory obligations, identifying opportunities to improve organization, accountability, and sustainability.
• Establish sustainable governance, procedures, monitoring, reporting, and accountability in partnership with Legal, Compliance, Government Affairs, and business stakeholders.
• Drive continued program maturity, effective oversight, and consistency across applicable jurisdictions.

Risk Management and Controls

• Execute key business control and monitoring activities and proactively identify, assess, elevate, and drive remediation of operational, regulatory, and compliance risks.
• Analyze incidents and control deficiencies to identify root causes, establish sustainable corrective actions, and drive remediation through closure.
• Develop clear management reporting and constructively challenge actions, timelines, and outcomes when appropriate.

Strategic Projects and Process Improvement

• Independently lead complex projects and initiatives, evaluating processes and implementing practical solutions that strengthen controls while supporting business objectives.
• Partner with stakeholders to establish clear ownership and implement sustainable improvements.
• Leverage technology, automation, data, and workflow solutions to improve efficiency, transparency, and control effectiveness.

Qualifications Required Experience

• Bachelor's degree.
• FINRA series 7, 63, 24 and/or other principal registrations and NFA series 3 preferred, or ability to obtain in 6 months.
• 5-8 years of experience in financial services, asset management, risk management, compliance, audit, legal, governance, or…