Regulatory Reporting Assurance Specialist

4 weeks ago

Bengaluru, Karnataka, India State Street Full time

Job Summary

The Regulatory Reporting Assurance team at State Street is seeking a highly skilled and experienced professional to join our team as a Regulatory Reporting Assurance Specialist. In this role, you will be responsible for providing independent verification of controls and processes over global regulatory reporting, including Basel, Comprehensive Capital Analysis and Review (CCAR), and areas of high risk and enhanced regulatory focus.

Key Responsibilities

  • 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
  • Review and provide feedback on deliverables
  • Perform risk assessments to identify areas requiring detailed testing
  • Lead and participate in reviews, including assessing the internal control environment, developing testing strategies, and reviewing control and sample data testing
  • Lead and participate in discussions with process and control owners to assess inherent risks, identify controls, and control gaps, by conducting walkthroughs
  • Challenge, assess, detail test the design and operating effectiveness of controls
  • 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
  • Draft recommendations and liaise with the business units to remediate risks, findings, and gaps identified during the validation process
  • Provide updates to management as needed
  • Engage key business partners to facilitate completion of assigned deliverables and explain results
  • Cultivate relationships across the Finance organization and Corporation with key constituency groups, such as Regulatory Reporting, Product Controllers, Operations, Treasury, Technology, and Risk
  • Develop subject matter expertise in regulatory requirements, best practices, and expectations
  • Identify and drive transformation efforts to further enhance the functionality of RRA as a first line of defense team
  • Provide day-to-day coaching and guidance to teammates

Requirements

  • Bachelor's Degree in Accounting, Chartered Accountant (CA), and/or Certified Public Accountant (CPA) with 7-9 years of progressive auditing experience; preferably financial services and/or Big 4
  • Certified Internal Auditor (CIA) / Chartered Financial Analyst (CFA) certification or candidate is a plus
  • Familiarity with FRB regulations and SEC requirements associated with the Financial Services Industry
  • Knowledge/work experience in IT General control testing and Data Analytics is a plus

Skills/Knowledge

  • Deep understanding and appreciation of the internal control environment
  • Knowledge of banking products and services, especially loans, deposits, securities, and derivatives
  • Auditing skills and experience in the review and interpretation of regulatory requirements
  • Exceptional analytical and critical thinking abilities; able to develop and convey a point of view
  • Strong oral and written communication skills; ability to effectively challenge and influence
  • Demonstrated leadership capabilities with 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 the 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 multi-task and take on a challenging workload and assignments
  • 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

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