Regulatory Reporting Assurance Specialist

2 weeks ago

Bengaluru, Karnataka, India State Street Full time

Job Title: Regulatory Reporting Assurance


Description:


The Regulatory Reporting Assurance (RRA) team at State Street is a management assurance group within the Controller's Organization. Our primary focus is the review and assessment of the quality of information pertaining to regulatory reporting, ensuring compliance with regulatory instructions, and the assessment of relevant risk management programs.


RRA Mission:



  • Provide credible challenge to management to drive compliance with regulatory and policy requirements
  • Support executive management and the board by reporting on the effectiveness of key financial and regulatory processes
  • Advise in the proactive identification of operational and compliance risks and effective mitigation strategies through effective business partnership
  • Offer risk and control insights to improve business results that are predicated on collaborative business partnerships

Key Responsibilities:



  • Develop and execute a framework to test internal systems supporting compliance with regulatory requirements and expectations
  • 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
  • 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:


Education and Experience:



  • 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

Languages: English


Work Location: Not specified


Job Type: Full-time


State Street is an Equal Employment Opportunity Employer


Company Overview: State Street is a global leader in asset servicing, helping to enable investment managers, financial institutions and corporations to shape their strategies, grow their businesses and achieve their goals.


Our Mission: To help our clients achieve their goals and realize their ambitions. At State Street, we are committed to being a responsible and sustainable company, and a valued member of our communities.


Community Involvement: We are proud of our commitment to community and our role as a responsible corporate citizen. Our employees are volunteers and volunteers are encouraged to participate in a wide range of community projects and charitable initiatives.


Benefits: We offer a comprehensive benefits package, including medical, dental, vision, 401(k) plan, flexible spending accounts, paid time off, and much more.


How to Apply: If you are a motivated and talented individual who is passionate about delivering exceptional results, we encourage you to apply for this exciting opportunity.


Equal Employment Opportunity: State Street is an equal employment opportunity employer. We are committed to diversity and inclusion.


Requisition Number: Not specified


Job Category: Risk and Compliance


Job Function: Regulatory Reporting Assurance


Country: Not specified


State: Not specified


City: Not specified


Location: Not specified


Industry: Financial Services


Job Type: Full-time


Experience: 7-9 years


Education: Bachelor's Degree in Accounting, Chartered Accountant (CA), and/or Certified Public Accountant (CPA)


Salary: Not specified


Language: English

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