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Compliance Vice President for the Conduct Risk Management Office, Hybrid

State Street Corporation
London, United Kingdom
Closing date
Oct 7, 2022

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Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
Who we are looking for
The Conduct Risk Management Office is seeking an experienced individual to join their North America based Compliance team. The successful candidate will be a key member of the Compliance organization, developing and executing key second line of defense programs related to Conflicts of Interest and the escalation of employee concerns (i.e., Whistleblower). They will report to the Global Head of Conduct Risk. The successful candidate will play a key role in the oversight of State Street employees and business units on a global basis, will be responsible for fostering a strong second line of defense and will need to successfully engage and manage a team of approximately five compliance professionals located in North America, EMEA and our center of excellence in Bangalore, India.

The role can be based out of Boston, London or Edinburgh.

This role can be performed in a hybrid model, where you can balance work from home and office to match your needs and role requirements.

Why this role is important to us
The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible for
As Conduct Risk Management Office VP you will
  • Document and maintain an inventory of the regulatory obligations related to conflicts of interest and escalation of employee concerns
  • Maintain State Street's Conflict of Interest Policy, State Street's Standard of Conduct and all related employee training in line with regulatory obligations and identified industry best practices
  • Maintain an inventory of related procedures and documented key controls
  • Provide advice and guidance to business partners on applicable regulatory obligations, policies and control expectations
  • Support State Street's various risk assessment programs with guidance regarding inherent risk factors and assessments of State Street's centralized controls
  • Assist with the design of ongoing monitoring and testing of first line activities
  • Assist Conduct Risk Management Office and business partners in assessing and remediating Compliance issues in a timely manner
  • Assist with regular and ad-hoc reporting
  • Assist with and lead investigations into potential violations of policies

What we value
These skills will help you succeed in this role
  • Excellent communication skills required, written and verbal
  • Proactive and structured approach to problem solving
  • Able to adapt to shifting priorities, meet deadlines and execute in a fast-paced environment

Education & Preferred Qualifications
  • 5-8 years of experience in a Compliance department, Audit team and/or Legal group (or similar function) in a highly regulated industry or prior experience in Consulting, Legal, or at a Regulatory agency
  • Subject matter expertise in one or more area functional areas of Corporate Compliance (i.e., risk identification, risk assessment, monitoring and testing, control design, policy implementation) necessary to support/ challenge functional area leaders
  • Prior experience with systems and controls designed to comply with regulatory obligations related to the management of Conflicts a plus

Are you the right candidate? Yes!
We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don't necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You'll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.

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