Compliance Risk Testing, AVP

Who we are looking for

The Compliance Risk Testing Analyst, Assistant Vice President will be responsible for working with a team of professionals to develop and execute regulatory testing and controls testing to provide reasonable assurance that State Street is complying with applicable laws, regulations, and internal policies. As part of a collaborative global team, you will contribute to Compliance Risk Testing plan development, and lead the execution of strategically important testing. This position is perfect for an individual who has experience with asset management, trading, fund oversight, regulatory testing, internal controls, compliance or audit functions.

Why this role is important to us

The team you will be joining plays an important role in the overall success of the organization. The CRT function plays a critical role in strengthening the firm’s compliance risk management framework by providing independent testing and credible challenge. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. 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 a Compliance Risk Testing Analyst – AVP you will:

• This role will serve as a local manager/lead for the CRT team in Poland
• Lead end‑to‑end execution of compliance risk testing, including scoping, walkthroughs, test script development, execution, evaluation of results, and formal documentation 
• Assess the firm’s asset management risk-based compliance program to assure compliance with significant regulatory requirements (i.e. Securities and Exchange Commission, Federal Reserve System, Financial Conduct Authority statutes and regulations) as well as internal policies
• Provide testing coverage that is primarily focused on but not limited to asset management, portfolio management, trading, fund administration, and oversight activities to ensure appropriate business line and regulatory coverage
• Perform an analysis of evidentiary data and draw conclusions as to the adequacy and effectiveness of business controls or whether a regulatory obligation has been breached
• Ensure that workpapers are thorough, well-organized, and support the work executed, including evidence of exceptions identified
• Draft reports that are appropriate for executive level consumption to clearly communicate results, risks, and key issues
• Maintain current knowledge of regulators’ focus areas, recent enforcement actions, and industry practices

• Liaise with Compliance Advisory, Business Unit Management, and other key stakeholders to design and execute testing activities to detect gaps, issues, breaches and process improvements, promoting the benefits of the CRT function
• Comprehend complex processes and challenge the status quo, identifying risks and potential inadequacies affecting compliance with regulatory obligations

What we value

These skills will help you succeed in this role

• Strong attention to detail and coordination capabilities
• Demonstrated leadership ability
• Thriving in a fast-paced environment
• Highly organized and with a “roll-up their sleeves to get things done” mindset
• Excellent written, verbal, and interpersonal skills
• Ability to effectively prioritize multiple tasks and work collaboratively as part of an international team across multiple locations with global stakeholders
• Ability to evaluate detailed business data and test results with healthy skepticism and an understanding of when and how to challenge
• Inclusive mindset that recognizes the value of building relationships across a diverse global team and demonstrate an ability to work across cultures with adaptability and flexibility
• Enthusiasm for learning and an aptitude to learn quickly, and the motivation to use thought leadership to continue to grow the Compliance Risk Testing Team

Education & Preferred Qualifications

• Bachelor’s degree, Master’s degree preferred
• 10+ years of proven experience in asset management, investment products, trading practices, fund operations, compliance, internal audit, and/or risk management
• Strong understanding of and experience assessing regulatory compliance with regulatory requirements applicable to the asset management industry (i.e. Securities and Exchange Commission, Federal Reserve System, Financial Conduct Authority statutes and regulations) as well as internal policies
• Significant experience designing and executing asset management compliance monitoring, surveillance, testing, audit or exams over portfolio compliance, regulatory filings, sales and marketing, outsourcing, market conduct and trading practices
• Expertise in risk assessment, internal controls, compliance, or audit focused in asset management compliance programs or other areas within the Financial Services sector
• Experience in leading teams of employees

Favorable professional certifications:

• Certified Internal Auditor (CIA)
• Certified Financial Analyst (CFA)
• Certified Regulatory Compliance Manager (CRCM)

Minimum Salary:​

zł182,004 Annual

The minimum salary quoted above applies to the role in the primary location specified. If the candidate ultimately works outside of this primary location, the applicable minimum salary may differ.​

Salary will be determined based on factors such as the position, type of work performed, individual skills, job description, working hours, diligence, initiative, self-management, length of employment, availability, and the quantity and quality of work delivered, as well as other objective and non-discriminatory criteria relevant to State Street employees.​

In addition to salary, employees are eligible to be considered for discretionary annual performance-based awards.​

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We Offer:​

• Permanent contract from day one​

• Additional holidays (Birthday Day Off, 3rd and 5th year anniversary Day Off)​

• Gold Medical Package for employees and their families (partner and children)​

• Premium life insurance package and private pension plan​

• Wide range of soft skills training, technical workshops, language classes and development programs​

• Opportunities to volunteer your time to company-driven initiatives, employee networks or organizations of your choice​

• Variety of well-being programs​

• Additional benefits available depending on the seniority of the role

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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