Assist with process walkthroughs and design monitoring and testing activities for areas deemed to be of higher focus within a particular Compliance Risk
Leverage the division’s methodology to independently identify and evaluate risk, determine control objectives and verify the extent to which State Street is meeting regulatory requirements
Obtain and analyze evidentiary data as a basis for drafting an informed, objective opinion as to the adequacy and effectiveness of business controls or whether a regulatory obligation has been breached
Maintain thorough and well-organized workpapers to support the work executed, including evidence of exceptions identified
Contribute to drafting Executive Result Summaries in accordance with internal standards to clearly communicate results, risks, and key issues
Maintain current knowledge of regulators’ focus areas, recent enforcement actions, and industry practices generally
Requirements
Bachelor’s degree (or equivalent)
Relevant work experience in a corporate testing or audit function within the financial services sector
Experience with Asset Management, Asset Services, Custodian banking and US & European banking regulatory landscape preferred
CPA, CIA, CISA or other applicable certification preferred
Intern assisting in packaging development for major food industry company. Contributing to compliance analysis and audits while collaborating with engineering teams.
Compliance Manager responsible for quality assurance and compliance at Nestlé's Marton Factory. Leading a team to uphold food safety and hygiene standards in a key manufacturing role.
EUDR Compliance Coordinator ensuring Kafea Terra’s compliance with EU Deforestation Regulation. Role involves collaboration across Operations, IT, Legal, Finance, Supply Chain, and Marketing teams.
Compliance Data Specialist role focused on data extraction and analysis for regulatory compliance at Kantox. Collaborating with IT and compliance teams to ensure data accuracy and support regulatory obligations.
Associate role at Kroll supporting research and due diligence in compliance. Focused on onboarding and managing risks associated with clients and third parties.
Senior Director leading AML Network Surveillance Monitoring and Regulatory Strategy for Capital One. Oversee integrated team ensuring compliance with regulatory standards and effective operations across on - shore and off - shore groups.
IT Compliance Specialist ensuring compliance with DORA and other regulations. Collaborating with IT and security teams for a secure digital environment.
Senior Compliance Risk Manager providing independent oversight of business products and compliance with NAIC regulations. Key role in ensuring adherence to legal requirements and influencing business solutions in financial services.
Senior Compliance Officer managing compliance operations for Hex Trust. Overseeing KYC, regulatory communications, and compliance activities for global expansion.
Senior Director leading the AML Network Surveillance Monitoring team at Capital One. Responsible for strategy development, regulatory alignment, and managing diverse teams across multiple locations.