State Street Compliance Risk Monitoring Senior Manager, Vice President in Boston, Massachusetts
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The Surveillance Team Senior Manager (Vice President) is responsible for the development and execution of surveillance monitoring activities and regulatory risk mitigation programs across the enterprise. The successful candidate will interface with cross-functional leadership across all areas of Compliance and collaborate in close partnership with the Compliance Data Analytics and Automation Team to design, execute and evolve sophisticated monitoring activities in support of value delivery and in accordance with regulatory and procedural requirements.
The ideal candidate has strong expertise in operational internal controls (Committee of Sponsoring Organizations [COSO] principles), risk assessment and internal control methodology in the Financial Services sector, is knowledgeable with proven experience in sophisticated risk response activity design and execution (surveillance monitoring), has exposure to data analytics and automation practices, possesses strong management and coordination capabilities and thrives in a fast paced environment.
The following are required:
Bachelor’s degree, advanced degree preferred
8+ years relevant work experience in the evaluation of internal controls specializing in operational and/or surveillance monitoring design within the financial services sector
Experience working in Compliance and Regulatory environment including risk assessments, sophisticated monitoring and testing design and execution strongly preferred.
Proven strength and ability to communicate clearly and concisely both verbally and in writing; able to understand and document complex business processes and development of detailed business requirements (for surveillance or other monitoring or risk mitigation activities)
Strong analytical skill and anility; able to learn and leverage new concepts (for example reviewing trading data, looking for trends and exceptions)
Ability to identify the key compliance risks in the area subject to compliance risk monitoring (e.g., surveillance) and to think creatively about how these risks might manifest in practice and how a monitoring activity/activities could seek to identify this; to formulate design requirements for said monitoring activity/activities
Proven ability to positively and creatively influence change and champion critical change initiatives; help others to anticipate and manage through change
Past experience building and maintaining key relationships across departments and functions, and establishing a culture of engagement
Agile and business process re-engineering understanding and experience a plus
Sound knowledge of COSO, CobIT or other widely accepted risk and control frameworks
Excellent management and coaching skills
Excellent critical thinking skills
Excellent organizational skills
Customer focus and client relationship management skills
Ability to be flexible, follow tight deadlines, organize and prioritize work.
Prior experience as an internal auditor preferred
One or more of the following certifications (or other substantially similar certifications) are strongly preferred:
Certified Internal Auditor (CIA)
Certified Information Systems Auditor (CISA)
Certified Fraud Examiner (CFE)
Certified Risk and Compliance Management Professional (CRCMP)
Certification in Control Self-Assessment (CCSA)
Certification in Risk Management Assurance (CRMA)
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Job Title: Compliance Risk Monitoring Senior Manager, Vice President
Job ID: 167862
Full/Part Time: Full FTE