Christopher Micah Baker

Managing Director, Chief Compliance Officer
Christopher Micah Baker

Chris Baker has 19 years of experience as a Compliance professional in the finance industry with 16 years focused in asset management. Chris is the Chief Compliance Officer for State Street Global Advisors at State Street. In this role he is responsible for implementing a compliance program that adheres to global regulations and supports all State Street Global Advisors functions, including sales, product, broker-dealer and investments. Chris is a member of the State Street Global Advisors Executive Management Group and the Senior Leadership Team.

Prior to assuming his current role at State Street Global Advisors in February 2018, Chris was the Senior Compliance Officer for Alternative Investment Solutions (AIS), Sector Solutions, and Global Marketing at State Street. Chris was responsible for managing Compliance Oversight Programs (COPs) that advise and monitor AIS on the management of regulatory risk in the provision of accounting, administration, middle and front office trade support and risk services to hedge funds, private equity funds and real estate funds. Chris was responsible for overseeing 12 AIS COPs supporting 36 legal entities across North America, EMEA, and APAC. His team managed the relationships with 15 global regulators that oversee AIS, and Chris was the primary contact with the Federal Reserve Bank of Boston for AIS exams and their continuous monitoring programs. Chris was a member of the AIS Senior Leadership Committee and AIS Executive Risk & Compliance Committee. Chris advised the Sector Solutions and Global Marketing teams in adhering to Sales Practices regulations, including those governing sales and marketing material, employee and product licensing, customer complaints, and RFPs.

Prior to assuming the AIS role in March 2015 and the Sector Solutions/Global Marketing roles in 2017, Chris was Global Head of Investment and Marketing Compliance at State Street Global Advisors for 5 years. While at State Street Global Advisors, Chris enhanced investment compliance monitoring by significantly increasing rule automation in collaboration with Investment Management teams, IT support, and vendor industry groups. Chris created the initial social media policy in support of State Street Global Advisors ETF marketing strategies. His team established a Compliance Trade Oversight Program that allowed Compliance to independently validate adherence to best execution, monitor for market manipulation, review trade cost analysis, and perform communication and transaction surveillance. He also coordinated off-shoring of specific compliance functions to Bangalore to increase efficiency and reduce cost. Chris was named a member of the State Street Global Advisors Senior Leadership Team in 2014.

Chris started his career at MFS Investment Management in 1998 managing compliance for specialized products and performing security valuation oversight. Chris maintained accuracy of portfolio compliance tests for fixed income structured products and reviewed MFS pricing, fair value, and liquidity procedures and policies as a member of the MFS Valuation Committee.

Chris received his Bachelor's degree from Franklin & Marshall College and his MBA from Boston University's Questrom School of Business.

SNAPSHOT

  • Years At SSGA : 8
  • Industry Start Date : 1998
  • College : Franklin & Marshall College

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