Senior Manager Compliance and Certification coordinating external audits and compliance at D - Trust GmbH in Berlin. Ensuring regulatory adherence and leading audit preparation and execution.
About the role
- Compliance Risk Testing Specialist developing and executing regulatory testing within a global team at State Street, focusing on compliance and controls monitoring.
Responsibilities
- 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
- Verbal and written fluency in English.
Benefits
- Flexible work arrangements
- Professional development opportunities
- Paid volunteer days
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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