- Market Rate
- Permanent, Full time
- State Street
- 23 Feb 18 2018-02-23
State Street Job Description * Develop and contribute to the implementation of Compliance Oversight Program (“COP”) for Global Services SEA, including the execution of risk responses: Discovery, Corrective Action, Monitoring & Surveillance, Training, communication, Control validation. * Assess impact on the business of new or
- Develop and contribute to the implementation of Compliance Oversight Program (“COP”) for Global Services SEA, including the execution of risk responses: Discovery, Corrective Action, Monitoring & Surveillance, Training, communication, Control validation.
- Assess impact on the business of new or changes in laws and regulations; and develop appropriate action plans to notify the business of regulatory developments and policy changes.
- Coordinate the implementation of controls with the business and management.
- Coordinate or participate in regulatory, internal and external examinations.
- Assist in the development, implementation, reviews and revisions of Compliance manuals, policies and procedures.
- Exercise discretion and judgment with regard to matters of significance, such as supporting production of management reporting, including but not limited to data collection, qualitative and / or quantitative analysis, formatting and quality assurance.
- Be able to identify and report all risk and compliance issues, breaches and suspicious activities.
- Participate in business and compliance meetings/calls and support the production of management reports.
- Handle compliance related queries from internal business partners.
Education & Experience
- Bachelor’s degree or equivalent
- Minimum 6 years in regulatory environment in financial services or experience gained in compliance risk management and/or internal control in a financial services environment.
- Good working knowledge of the conduct of business rules and local regulatory requirements that relate to banks/financial services.
- Pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates strong analytical skills.
- Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others
- Judgement and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
- Work independently on specific assignments and consult with senior team member(s0 where clarification or exception to policy may be required
- Be able to work in conjunction across compliance as well as business partners and external parties as needed to resolve issues and ensure accuracy of accountabilities and adhere to all policies/regulations/guidelines
- Share responsibilities for problem resolution requiring other stakeholders’ inputs