Senior Auditor, Compliance Audit Team
Boston , Massachusetts
October 03, 2016
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.
Our promise to maintain an environment where every employee feels valued and able to meet their full potential infuses our company values. It's also part of our commitment to inclusion, development and engagement, and corporate social responsibility. You'll have tools to help balance your professional and personal life, paid volunteer days, and access to employee networks that help you stay connected to what matters to you. Join us.
State Street is an Affirmative Action/ Equal Opportunity Employer/Vet/Disability.

Job Description
Senior Auditor, Compliance Audit Team
The Senior Auditor, will be part of the Corporate Compliance Audit Team, auditing areas like: the implementation of compliance programs; it will audit newly established compliance functions; the Team will be responsible for overseeing continuous monitoring and audit deliverables.  The Corporate Compliance Audit Team will be responsible for assessing how State Street addresses compliance risk; it will develop the audit framework, work paper programs, execute fieldwork and testing and deliver audit reports. The Corporate Compliance Audit Team would audit the Compliance areas across the Organization like: Broker/Dealer, Global Advisors, Finance, Human Resources, etc.
The Senior Auditor performs audit work pertaining to audits and control consulting engagements that evaluate corporate management, business processes, business controls, risk assessments and operating practices globally pertaining to Corporate Compliance.
The candidate should clearly demonstrate proficiency in evaluating and testing internal controls and in applying risk based audit skills to business units globally.
The Senior Auditor will review automated audit workpapers prepared by audit staff ensuring sound audit theory and compliance with the department's risk based audit methodology.
The Senior Auditor ensures that audits are completed in compliance with the Corporate Audit Department and Institute of Internal Auditor standards.
The candidate requires good analytical, interpersonal, time management, project management, research and communications skills.
She /he must be able to effectively work with new and changing situations, including new industry regulations, where there may not always be a readily apparent solution.
Perform assigned audit work using the Division's audit methodology to evaluate risk, determine control objectives and verify the extent to which client control techniques meet objectives.
Identify and assess risks and associated mitigating controls with an aim to improve the control environment.
Devise effective, risk-based and efficient tests of key controls.
Obtain and analyze evidentiary data as a basis for drafting an informed, objective opinion on the adequacy and effectiveness of controls of the activities being reviewed.
Execute and document audit work and conclude on the audit test results and overall effectiveness of controls.
Review and appraise corrective actions taken to improve deficient conditions.
Document audit work in accordance with Division and industry standards.
Perform other duties as assigned or required.
Problem Solving & Decision Making
Develop solutions and provide counsel to ensure effective decisions are reached by employing timely, rigorous and logical analysis.

Effective Communications
Convey and receive messages clearly, with impact and empathy.  Translate and adapt the pitch for each audience.

  Client Focus & Consultation
Provide excellent service and build strategic client partnerships based on knowledge of their needs and by exceeding mutual expectations

  Collaborate for Results
 Do more than we thought possible to accomplish our goals.

  Act Globally
Understand different perspectives and cultures to align management practices to fulfill business strategy.

  Professional Agility
Be adaptable, responsive to change and intellectually curious, while rigorously in pursuit of client solutions

Skills and Qualifications
BSBA degree required - Accounting, Finance, and Business Administration.
Audit experience preferred in public accounting or internal audit, focusing on Financial Services - ideally in compliance.  A background in custody, asset management, capital markets, alternative investments, would be a plus.
A CPA, CIA is a plus.
The candidate must have strong communication skills, both verbal and written.
The candidate must have strong interpersonal skills
The candidate must have the willingness to develop core competencies in risk based audit methodology.
This role will travel up to 25 percent domestically and internationally.

Job Opening ID
State Street Job ID:

Boston, MA

Closing Statement
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A little about us:
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