Compliance Monitoring & Surveillance, SrAssc - P-203

Compliance Monitoring & Surveillance, SrAssc - P-203

19 Apr
State Street
Bangalore Rural

19 Apr

State Street

Bangalore Rural

The Compliance Risk Monitoring Team (CRMT) within Corporate Compliance is part of the firm’s integrated approach to monitoring Compliance Risk across the First and Second Lines of Defense. As an integral component of the company-wide compliance monitoring approach, CRMT is responsible for performing monitoring and testing over key areas of Compliance Risk, including the top Compliance Risks identified for the firm that fall under Corporate Compliance’s remit as the Second Line of Defense (SLOD). CRMT works with the Business-Aligned and Functional Compliance Advisory Teams (Compliance Advisory Teams) to design and execute efficient and effective monitoring and testing as part of the SLOD within Corporate Compliance.

Key Responsibilities & Experience Range

Experience: 1 – 4 years

Develop a strong understanding of CRMT’s principles, steps and requirements to be followed. Participate in the M&S; Design process by designing and proposing activities resulting from scoping sessions Execute Control testing & Outcome based testing Present potential exceptions to the CRMT Team Lead for analysis Prepare work paper documentation to support the work executed, including evidence backing up exceptions Suggest process improvements to achieve improved efficiency and accuracy.

Skills & Knowledge

Qualification & Certifications:

Graduation in any discipline

Any Risk Management related certification will be an added advantage


Reasonable interaction with internal stakeholders


Sound understanding/Exposure of Business/Operational Risk

Any prior audit related experience is a must

Primary Skills (Must Have):

Writing and Reporting

Writes correctly and clearly; avoids the unnecessary use of jargon or complicated language; writes in a well-structured and logical way; structures information to meet the needs and understanding of the intended audience.

Delivering Results and Meeting Customer Expectations

Focuses on customer needs and satisfaction; sets high standards for quality and quantity; works in a systematic, and orderly way; consistently achieves project goals.

Learning and Researching

Rapidly learns new tasks and commits information to memory quickly; demonstrates an immediate understanding of newly presented information; gathers comprehensive information to support decision making; encourages an organizational learning approach (i.e. learns from successes and failures and seeks staff and customer feedback).

Compliance Risk Identification

Identification of risk and controls within business processes and applicable regulations.

Adapting and Responding to Change

Adapts to changing circumstances; tolerates ambiguity; accepts new ideas and change initiatives; adapts interpersonal style to suit different people or situations; shows an interest in new experiences.

Knowledge of Business Operations

Possesses an intimacy and familiarity with the business to fully meet the company’s needs and serve its best interests.

Root Cause Analysis

Analyzing the underlying reasons of compliance-related issues and/or misconduct events; identification of systemic causes of issues.

The original job offer can be found in Kit Job:

Reply to this offer

Impress this employer describing Your skills and abilities, fill out the form below and leave Your personal touch in the presentation letter.

Subscribe to this job alert:
Enter Your E-mail address to receive the latest job offers for: compliance monitoring & surveillance, srassc - p-203
Publish a new Free Offer
Need to publish an offer? With more than 1 million unique users per month, you will find the ideal candidate for your company instantly, what are you waiting for!
Publish Now

Subscribe to this job alert