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The Compliance Risk Monitoring Team (CRMT) within Corporate Compliance is part of the firm's integrated approach to monitoring Compliance Risk across the First and Second Lines of Defense. As an integral component of the company-wide compliance monitoring approach, CRMT is responsible for performing monitoring and testing over key areas of Compliance Risk, including the top Compliance Risks identified for the firm that fall under Corporate Compliance's remit as the Second Line of Defense (SLOD). The CRMT Analytics Analyst reports to a CRMT Surveillance Manager, who is responsible for leading a team of global professionals in the design and execution of monitoring activities developed to identify potential breaches of Regulatory Obligations and Corporate Compliance policies and that make use of analytical techniques to identify higher risk areas for sampling and identify anomalies in large data sets.
In this role, the CRMT Analytics Analyst will:
In concert with the CRMT Monitoring Teams, design monitoring and testing activities that rely on enhanced analytical techniques for areas deemed to be of higher focus within a particular Compliance Risk
Support the management and sourcing of data within CRMT and ensure a high level of data quality, integrity, privacy, availability, security and usability
Execute substantive outcome monitoring using analytical techniques to detect potential breaches of Regulatory Obligations (Outcome-Based Monitoring). This could include examining specified transactions and/or records and supporting documentation to determine whether an attribute within a population or a sample produces an expected outcome (irrespective of the related controls, if any)
Liaise with their CRMT colleagues all over the globe to share and complete deliverables
This position is perfect for an individual who has expertise in data analysis, compliance, or audit functions within the Financial Services sector, who possesses strong attention to detail and coordination capabilities, and who thrives in a fast-paced environment. It is a role from which a successful candidate may develop a career further in Compliance or in other risk and control areas.
Work with CRMT monitoring teams to design high value, efficient monitoring activities
Support the collection and maintenance of key business metadata including data definitions; rules; lineage; data lifecycle; security; privacy; and process, organization, location and application models.
Execute said monitoring activities in line with established standards and execution plans
Perform in-depth technical and analytical review of data as necessary to perform assigned monitoring activities
Provide timely execution and ensure quality of work product, including preparation of workpapers
Establish and maintain relationships with the other CRMT staff members globally
Complete assigned periodic training as required by corporate methodology (annually, quarterly, etc.)
Identify real-time CRMT process improvements and suggest resolutions when applicable
BA/ BS (or equivalent experience) in a related field
Minimum of 3-4 years relevant work experience with risk, compliance, or audit functions within the financial services sector preferred
Familiarity with data analysis functions and understanding of different database structures or equivalents; proficiency with SQL and SAS programming languages, as well as Tableau
Ability to analyze, manipulate and understand large data volumes effectively
Experience working with a variety of information systems and data files, including large and complex files or systems
Excellent critical thinking skills
Ability to communicate with and appropriately influence all levels of management
Excellent interpersonal, communication (written and verbal), and presentation skills
Excellent project management and organizational skills
Strong customer focus
Employee savings plan
Premium life insurance package
VIP medical package
International operating environment
Soft skills trainings
Development sessions with a mentor
Diversity of opportunities across a range of challenging and highly complex activities
Technical or leadership career pathway
Internal Number: 6458094
About State Street
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