Corporate Audit- Compliance, Vice President

The Corporate Audit – Compliance VP will serve as a Compliance subject matter leader within Corporate Audit, providing independent, objective assurance over the design and effectiveness of the Bank’s compliance risk management practices.

The role requires deep knowledge of compliance risk management and relevant regulatory requirements, with experience across core compliance disciplines such as Conduct, Privacy, Regulatory Change Management, compliance governance, monitoring and testing, and regulatory obligations. The successful candidate may bring experience from Internal Audit or a second-line Compliance function, with demonstrated experience in testing, monitoring, assurance, risk assessment, or independent challenge.

The successful candidate will support annual audit planning, risk assessments, audit scoping, audit execution, issue development, and regulatory engagement activities across Compliance. The candidate should be able to provide credible challenge, communicate effectively with senior management and regulators, and translate complex compliance requirements and risks into clear audit conclusions. The individual will report directly to the Managing Director.

Why this role is important to us

The audit team plays an important role in the overall success of the organization. Across the globe, the firm relies on us to help manage risk, respond to challenges, and drive performance and profitability. Regulators rely upon us to provide assurance that the Bank operates in compliance with key banking regulations and appropriately manages risks to the company and the global financial system.

What you will be responsible for

As Vice President, Corporate Audit – Compliance, you will:

- Serve as a Compliance subject matter leader within Corporate Audit, providing technical challenge and guidance across core compliance areas, including Conduct, Privacy, Regulatory Change Management, and other areas of Compliance Risk.
- Assess the design and operating effectiveness of the compliance risk management framework, including governance, risk assessments, policies and procedures, monitoring and testing, training, reporting, issue management, escalation, and regulatory commitments.
- Evaluate compliance risk practices across areas that may include employee and market conduct, conflicts of interest, sales practices, complaints, surveillance, investigations, disciplinary processes, and alignment with the Bank’s risk appetite and ethical standards.
- Assess relevant Privacy risk management practices, including the use and sharing of personal information, privacy impact assessments, individual rights, data retention, third-party oversight, and incident management, as appropriate to the scope of individual audits.
- Review Regulatory Change Management processes, including horizon scanning, applicability and impact assessments, ownership, implementation planning, policy and control updates, validation, governance, and timely escalation of regulatory obligations.
- Challenge the completeness, accuracy, and appropriateness of compliance risk reporting provided to management committees, senior management, and the Board, including metrics, breaches, issues, emerging risks, and regulatory developments.
- Lead and support complex compliance audits, reviews, risk assessments, testing, and other independent challenge activities.
- Coach and develop audit team members on compliance risk concepts, regulatory expectations, and the linkage between compliance obligations, business processes, controls, and customer or market outcomes.
- Stay abreast of regulatory developments, supervisory priorities, enforcement trends, and industry practices, and apply relevant developments effectively to audit planning and execution.

What we value

These skills will help you succeed in this role:

- Deep technical knowledge of compliance risk management and relevant banking laws, regulations, and supervisory expectations, with the ability to interpret regulatory requirements and assess their application across business processes, systems, and controls.
- Sound judgment and the ability to provide credible, independent challenge on complex compliance matters, identifying gaps and translating regulatory and compliance risks into clear conclusions.
- Excellent senior-level communication skills, with the ability to articulate complex issues clearly and concisely to senior management, audit leadership, and regulators.
- Ability to apply broad compliance expertise and practical knowledge of regulatory expectations and industry practices to complex audit and risk matters.

Qualifications

- 10+ years of relevant experience in Compliance, Compliance Risk Management, Compliance Audit, regulatory affairs, or related financial services roles, with experience in monitoring, testing, assurance, risk assessment, or independent challenge.
- Demonstrated depth in core compliance risk management, with experience across multiple compliance disciplines. Relevant areas may include Conduct, Privacy, Regulatory Change Management, compliance governance, regulatory obligations, monitoring and testing, and issue management.
- Demonstrated ability to lead complex audits, compliance reviews, testing programs, risk assessments, or other independent challenge activities.
- CIA, CPA, Certified Regulatory Compliance Manager (CRCM), Certified Compliance & Ethics Professional (CCEP), or another relevant professional certification preferred.
- Advanced degree in Finance, Accounting, Economics, Business, Risk Management, Law, or a related field preferred.

Salary Range:
$110,000 - $188,750 Annual

The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.

Employees are eligible to participate in State Street’s comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.

For a full overview, visit https://hrportal.ehr.com/statestreet/Home .

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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