Regulatory Reporting Assurance Specialist

4 weeks ago

Bengaluru, Karnataka, India State Street Full time

The Regulatory Reporting Assurance team at State Street is responsible for ensuring the accuracy and completeness of regulatory reports. As a Regulatory Reporting Assurance Specialist, you will play a critical role in reviewing and assessing the quality of information pertaining to reporting, conformance to regulatory instructions, and the assessment of relevant risk management programs.

The team works closely with other functions across Finance, Global Treasury, Risk Management and Business Units, as well as other assurance functions. This is an opportunity to join a transforming group and actively participate in its development and maturity, to learn about key regulatory requirements and gain an understanding of all areas of the company's business.

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

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