Compliance Monitoring & Surveillance Manager, AVP
Who we are looking for
A professional who will take on a highly visible role within the CRM team and handle a combination of operational and people management responsibilities.
This position is perfect for an individual who has expertise in risk assessment, internal control, compliance or audit function in the Financial Services sector, has deep understanding and knowledge of a State Street business line or process, and thrives in a fast-paced environment.
The Compliance Risk Monitoring Team (CRMT) is a critical component of the overall Compliance Program at State Street. Performing monitoring and testing activities is essential to conclude on the adequacy of the firm-wide compliance program and business unit regulatory posture, and to identify enhancements for State Street's global compliance control environment. The Compliance Risk Monitoring, AVP reports to the applicable CRMT Senior Manager. Why this role is important to us
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. What you will be responsible for
As Compliance Monitoring & Surveillance Manager you will
What we value
- Work closely with the Senior Manager to implement a firm-wide Compliance Monitoring, and provide subject matter expertise in the design and testing of various aspects of employee and business conduct.
- Liaise with Compliance Advisory, Business Unit Management and other key stakeholders to design and execute monitoring activities to detect gaps, issues, breaches and process improvements, promoting the benefits of a monitoring and testing function.
- Oversee and review work product of staff members.
- Establish and maintain relationships with other CRMT staff members globally.
- Work with CRMT and Compliance Advisory colleagues to endorse a strong, global culture of Compliance.
- Identify real-time CRMT process improvements and suggest resolutions when applicable.
- Communicate results and obtain agreement from Compliance Advisory, Business Unit Management, and other key stakeholders on the result of monitoring and solicit agreement on issues noted.
- Lead and motivate staff, particularly, direct reports.
These skills will help you succeed in this role:
Education & Preferred Qualifications
- Strong analytical skills and strict attention to detail.
- Excellent interpersonal, verbal, and written communication skills.
- Time-management skills.
- Critical thinking skills.
- Bachelor's degree required, preferably in the relevant field.
- Minimum of 7-8 years relevant work experience with risk assessment, internal control, compliance or audit function within a financial institution.
- At least 3-4 years of experience in people management function.
- Ability to communicate with and appropriately influence all levels of management.
- Excellent interpersonal, communication (written and verbal), and presentation skills.
- Experience with data analytics software (e.g. SAS, Tableau) will be an advantage.
- Professional certification(s) such as Certified Internal Auditor (CIA), Certified Fraud Examiner (CFE) and Certified Financial Services Auditor (CFSA) will be an asset.
About State Street What we do.
- Employee savings plan;
- Premium life insurance package;
- VIP medical package;
- International operating environment;
- Language classes;
- Soft skills trainings;
- Technical workshops;
- Development sessions with a mentor;
- Diversity of opportunities across a range of challenging and highly complex activities;
- Technical or leadership career pathway.
State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients. Work, Live and Grow.
We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You'll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential. Inclusion, Diversity and Social Responsibility.
We truly believe our employees' diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.
Discover more at StateStreet.com/careers