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The Compliance Risk Monitoring Team (CRMT) is a critical component of the overall Compliance Oversight Program (COP) at State Street. Performing Monitoring & Surveillance activities over areas of high Inherent Risk is essential to conclude on the adequacy of the COP internally, the Regulatory Posture of the Business Unit, and to identify enhancements for State Street's global compliance control environment. The CRMT Team Lead - End-to-End Reviews, Assistant Vice President reports to the CRMT Chief Administrative Officer (CAO), who is responsible for providing support and guidance related to the Monitoring & Surveillance activities performed centrally on behalf of Corporate Compliance.
In this highly visible role, the CRMT Team Lead will be responsible for leading a small team in the coordination of end-to-end reviews across the CRMT and various Compliance Risks, which includes execution of all phases of the process and partnering with Subject Matter Experts. For each end-to-end review, the CRMT Team Lead will be responsible for resource management, overseeing the review and reporting on key milestones, as well as acting as the designated point of contact between the Business, Compliance Advisory, and CRMT. In addition, the CRMT Team Lead will provide support and guidance on end-to-end reviews performed by other CRMT Monitoring Teams. The ideal candidate is well versed on overall compliance requirements applicable to the financial services industry, presents strong communication skills, exceptional coordination capabilities, and thrives in a fast paced environment.
This position is perfect for an individual who has previous experience in compliance or audit functions in the Financial Services sector with proven ability to manage simultaneous projects and deliverables. It is a role from which a successful candidate may develop a career in Corporate Compliance or in other risk and control areas.
MAJOR RESPONSIBILITIES :
Develop best practices around the end-to-end reviews carried out by the CRMT and where necessary, suggest enhancements to the Compliance Risk Monitoring (CRM) Standard.
Work in close collaboration with the CRMT Monitoring Teams, Head of CRMT, and Compliance Advisory colleagues to complete the requisite end-to-end reviews.
Manage direct resources and those on loan from the CRMT Monitoring Teams to ensure that end-to-end reviews are performed efficiently and timely according to schedule.
Make recommendations and escalate potential exceptions identified as they relate to existing business practices, controls, or risk areas.
Interpret regulatory obligations and internal policy guidelines as well as conduct walkthroughs to identify the scope of each end-to-end review.
Report on the status of key milestones and present on the body of work to be accomplished through end-to-end reviews.
EDUCATION / EXPERIENCE / SKILLS :
The following are required:
Minimum of 5-7 years relevant work experience with risk assessment, internal control, compliance, or audit function within the financial services sector
Bachelor's degree required; MBA or CPA preferred
Professional risk management, compliance, and audit certifications preferred
Proven ability to manage simultaneous projects and/or deliverables
Excellent critical thinking skills
Excellent interpersonal, communication (written and verbal), and presentation skills
Excellent project management and organizational skills
Ability to adhere to deadlines and prioritize workload