Rebecca Babbitt

Rebecca Babbitt Email and Phone Number

Developing Regulatory Compliance programs and leading integrity-driven initiatives to create cultures that thrive| Coaching teams to develop risk-conscious solutions @ State Street Global Advisors
Rebecca Babbitt's Location
Boston, Massachusetts, United States, United States
Rebecca Babbitt's Contact Details

Rebecca Babbitt personal email

About Rebecca Babbitt

I specialize in managing compliance and operational risk management programs. I’ve spent more than 15 years leading strategic initiatives to improve systems, create efficiency, and develop risk-conscious solutions for organizations. With a natural knack for research and an eye for detail, a career in regulatory compliance has been the perfect fit. My goal is to continuously drive a culture of compliance rooted in ethical practices, policies, and programs which not only inspire and motivate my team to do the same, but also enhance operations and client’s experience. THROUGHOUT MY CAREER, I’VE OFTEN BEEN DESCRIBED AS: ➥ A Servant leader. I’m dedicated to promoting inclusive and dynamic environments. I take pride in having the opportunity to train and develop the next generation of compliance leaders. ➥ A Champion of change. I’ve improved workflows through developing compliance driven policies and procedures that aid in cutting costs, increasing efficiency, and enhancing team performance. ➥ Client-focused and an innovative solution-finder. I keep client experience at the forefront of everything I do. My personal motto: do the right thing. As an advocate, I have been able to translate client needs to a variety of channels and create systems to improve customer experience. ➥ Collaborative relationship builder. I enjoy working with regulators and sales professionals. Building and maintaining strong partnerships with these professionals allows me to stay abreast of industry trends and changes. By now, you can tell that I believe compliance should be the core focus of every organization. WHY?Organizations that thrive, have proactive, future-focused, and flexible teams that focus on the ever-changing world of regulation.

Rebecca Babbitt's Current Company Details
State Street Global Advisors

State Street Global Advisors

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Developing Regulatory Compliance programs and leading integrity-driven initiatives to create cultures that thrive| Coaching teams to develop risk-conscious solutions
Rebecca Babbitt Work Experience Details
  • State Street Global Advisors
    Vice President - Head Of Business Controls-Americas, Institutional Client Group
    State Street Global Advisors Feb 2022 - Present
    Boston, Ma, Us
  • State Street Global Advisors
    Vice President, Compliance Consultant - Institutional Client Group
    State Street Global Advisors Aug 2018 - Jan 2022
    Boston, Ma, Us
    In this role, my primary focus was developing procedures and representing the Institutional Client Group as the first-line of defense with regard to risk identification, assessment, and mitigation. I oversaw deliverables for cross-functional business functions including sales, electronic communications, licensing and registration, and vendor partnerships. I often served as the subject matter expert for implementing policies and practices to avoid compliance breaches. I consistently fostered and promoted inclusive environment through leading DEI initiatives. HIGHLIGHTSReviewed global sales processes and streamlined procedures to improve employee efficiency and productivity  Implemented up-to-date global requirements to improve control environment  Co-Lead, Membership & Engagement Committe, Professional Women's Network, January 2020 -December 2021 Future Leaders Sub-Workstrem Lead, State Street 10 Actions Against Racial Injustice, Representation Across the Asset Management Industry, 2020 to Present
  • Harbor Capital Advisors, Inc.
    Senior Legal And Compliance Specialist
    Harbor Capital Advisors, Inc. Apr 2017 - Aug 2018
    Chicago, Il, Us
    As the Senior Legal and Compliance Specialist, I managed internal programs and processes to ensure the organization complied with industry specifications and standards as well as federal regulations and laws. I led annual due diligence visits and branch office inspections to provide actionable plans and feedback to avoid risks. I also coordinated efforts of Legal and Compliance department as it related to information security, business planning and volunteer initiatives. HIGHLIGHTS Recognized for coordinating FINRA exam of well-known broker-dealer, Harbor Funds Distributors, Inc.  Oversaw $1M Blue Sky account activity which included permits and budgeting.  Conducted intensive compliance review of all sales materials (policies, procedures, fact sheets, commentaries).
  • John Hancock Financial Services
    Senior Compliance Consultant
    John Hancock Financial Services Sep 2014 - Apr 2017
    Boston, Ma, Us
    As the “go-to” subject matter expert, I consistently improved internal operations by developing and implementing up-to-date policies and procedures for compliance standards. I also trained executive staff and front-line employees on current Compliance trends and processes. I regularly conducted one-on-one trainings and group webinars on business ethics, communication, and regulatory requirements. HIGHLIGHTS Collaborated cross-functionally to efficiently execute organization-wide initiatives including new policies and procedures for working with senior investors and meeting cybersecurity requirements Selected to be a speaker at Manulife’s Global Compliance Conference to teach strategies on Social Media compliance and surveillance
  • John Hancock Financial Network
    Sr. Advertising Compliance Analyst
    John Hancock Financial Network Sep 2010 - Sep 2014
    I managed the day-to-day activities to ensure advertising materials met regulatory and company policy requirements. I also translated compliance updates and standards to team of home office and field personnel and revised internal processes and procedures as needed. HIGHLIGHT Spearheaded the launch of award-winning tool, Retirement Ready--the first-of-a-kind retirement calculator to include an annuity component
  • Metlife
    Compliance Consultant
    Metlife May 2007 - Sep 2010
    New York, Ny, Us
    In this role, I oversaw sales communications and led compliance support efforts for more than 12,000 representatives throughout five distribution channels. I focused on training and mentoring associates on best practices in public communications (i.e. radio shows and webcasts). I routinely monitored social media accounts to ensure announcements and advertising followed company policies.HIGHLIGHTS  Saved $250K+ by planning and implementing Six-Sigma style evaluation across the organization to identify gaps in processes and create opportunities to increase efficiency.  Participated in the development of policies and implementation of social media account for business use. Served as “compliance” resource to ensure activities were in compliance with industry regulations.

Rebecca Babbitt Skills

Management Investments Policy Insurance Series 7 Food

Rebecca Babbitt Education Details

  • Simmons College - Simmons School Of Management
    Simmons College - Simmons School Of Management
    Mba
  • Gettysburg College
    Gettysburg College
    History

Frequently Asked Questions about Rebecca Babbitt

What company does Rebecca Babbitt work for?

Rebecca Babbitt works for State Street Global Advisors

What is Rebecca Babbitt's role at the current company?

Rebecca Babbitt's current role is Developing Regulatory Compliance programs and leading integrity-driven initiatives to create cultures that thrive| Coaching teams to develop risk-conscious solutions.

What is Rebecca Babbitt's email address?

Rebecca Babbitt's email address is ch****@****ail.com

What schools did Rebecca Babbitt attend?

Rebecca Babbitt attended Simmons College - Simmons School Of Management, Gettysburg College.

What are some of Rebecca Babbitt's interests?

Rebecca Babbitt has interest in Social Services, Economic Empowerment.

What skills is Rebecca Babbitt known for?

Rebecca Babbitt has skills like Management, Investments, Policy, Insurance, Series 7, Food.

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