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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 Analyst reports to a CRMT Senior Manager, who is responsible for leading a team of global professionals in the design and execution of monitoring and testing activities developed to identify potential breaches of Regulatory Obligations and Corporate Compliance policies, as well as to ascertain whether key controls that are in place to mitigate the risk of non-compliance with Compliance Risk continue to operate effectively.
In this role, the CRMT Analyst will:
Design monitoring and testing activities for areas deemed to be of higher focus within a particular Compliance Risk
Execute the review of internal controls that support various regulatory requirements in addition to internal Firm requirements (Internal Control Testing)
Execute substantive outcome monitoring using analytical techniques to detect potential breaches of Regulatory Obligations (Outcome-Based Monitoring)
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 risk assessment, internal control, 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 and Compliance Advisory colleagues to design high value, efficient monitoring and testing activities
Execute said monitoring and testing activities in line with established standards and execution plans
Provide timely execution and ensure quality of work product, including preparation of workpapers
Demonstrate knowledge of the Compliance Methodology as well as a broad understanding of the entire Corporate Compliance function at State Street
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 (or equivalent experience) in a related field
Minimum of 4-5 years relevant work experience with risk assessment, internal control, compliance or audit functions within the financial services sector
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