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Team Lead_Financial Regulatory Assurance

3.00 to 7.00 Years   Bangalore   02 Jul, 2020
State Street Corporation
Job LocationBangalore
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaTechnical Support / Helpdesk
EmploymentTypeFull-time

Job Description

  • 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
  • Assist in the performance of risk assessments to identify areas requiring detailed testing
  • Participate in reviews, including assessing the internal control environment, developing testing strategies and reviewing control and sample data testing
  • 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
  • Assist in 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 FRA as a second line of defense team
  • Provide day to day coaching and guidance to teammatesJob Requirements:Education and Experience:
  • Bachelor s Degree in Accounting, Masters in Finance (MBA/PGDBM), Chartered Accountant (CA) and/or Certified Public Accountant (CPA) with 3-7 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 Basel, BCBS (239), FRB regulations and/or SEC requirements associated with the Financial Services Industry
  • Knowledge/work experience in IT General control testing and Data Analytics is a plusSkills/ 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 abiliites; 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 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.
,

Keyskills :
subject matter expertisechartered financial analystenvironmental impact assessmentdata qualityinternal auditdata analyticsbusiness unitsrisk managementrisk assessmentcontrol testingcustomer service

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