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Job Description
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RRA has a mission to:
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Provide credible challenge to management to drive compliance with regulatory and policy requirements
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Support executive management and the board by reporting on the effectiveness of key financial and regulatory processes
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Advise in the proactive identification of operational and compliance risks and effective mitigation strategies through effective business partnership
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Key Responsibilities:
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Execute a framework to test if the internal systems supporting compliance with regulatory requirements and expectations are properly designed, documented and implemented and include appropriate governance and data quality controls
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Perform risk assessments to identify areas requiring detailed testing
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Participate in reviews, including assessing the internal control environment, developing testing strategies and reviewing control and sample data testing
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Participate in discussions with process and control owners to assess inherent risks, identify controls and control gaps, by conducting walkthroughs
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Challenge, assess, detail test the design and operating effectiveness of controls
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Identify, document and maintain evidence supporting process and controls objectives. Lead the identification and risk assessment of issues and work with management to track issues to resolution
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Draft recommendations and liaise with the business units to remediate risks, findings and gaps identified during the validation process
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Education and Experience:
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Bachelor’s Degree in Accounting, Chartered Accountant (CA) and/or Certified Public Accountant (CPA) or MBA, with 4-6 years of progressive auditing/regulatory experience; preferably financial services and/or Big 4
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Certified Internal Auditor (CIA) / Chartered Financial Analyst (CFA) certification or candidate is a plus
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Familiarity with Basel, FRB regulations and SEC requirements associated with the Financial Services Industry
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Skills/ Knowledge:
- Understanding of the internal control environment
- Knowledge of US Basel regulations and US regulatory reports like FFIEC 101, FFIEC 102, FFIEC 031, Pillar 3 disclosures, FR Y 9C, FR Y 14Q, FR Y 9C, etc.
- Knowledge of banking products and services, especially loans, deposits, securities and derivatives
- Auditing skills and experience in the review and interpretation of regulatory requirements
- Strong oral and written communication skills; ability to effectively challenge and influence
- Demonstrated solid interpersonal skills and the ability to work collaboratively across all organizational tiers. A strong customer service mindset is a must
- Must be proactive and a goal oriented strategic thinker with ability to identify creative solutions
- Demonstrated ability to manage workloads and prioritize deliverables; ability to be flexible
- Strong attention to detail and accuracy
- Ability to be proactive with minimal direction, ability to work independently and meet deadlines
- Ability to thrive in a team environment, working collaboratively with others
- Inquisitive and curious about business and functions, strong desire to learn
- High energy and positive attitude
- Professionalism, dependability, integrity and trustworthiness combined with a cooperative attitude
About State Street
Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.
We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.
As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.
Discover more information on jobs at StateStreet.com/careers
Read our CEO Statement
About State Street
Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.
We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.
As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.
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