Compliance Manager recruitment

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 Job Title:  EMEA Compliance Controls and Testing Manager
Reporting To:   Head of EMEA Compliance
Roles Reporting to this Position: 2 direct reports (managers) 12 indirect reports
Department:  Compliance
Location:  Churchill Place, Canary Wharf, London

Purpose of Role:
To act as a manager of the EMEA Compliance Controls and Testing (CT) team across the different State Street entities. This includes Global Advisors, Global Services, Trustees, AIS and Global Markets.

As the manager of the EMEA Compliance CT team, will ensure the CT plans are developed, implemented and executed in the required timeframes and to the standards published by the PSO area in Boston.  Management of the team and liaison to ensure that training and guidance is given.

Major Responsibilities:
•Manage team and execute the plan within the required timeframes.
•Conduct reviews produce detailed reports ensuring all findings are clearly documented with supporting evidence.
•Liaise with business areas and control owners to ensure controls are adequately documented and reflected in the reviews conducted.
•Liaise with Controls and Testing team management and other Controls and Testing team colleagues to ensure that a consistent approach where possible is adopted.
•Ensure issues and findings are communicated to control owners and business aligned Compliance team members.
•Providing appropriate reporting on items such as open action items and testing deferrals.
•Provide support to the EMEA Compliance Management Team where required.
•Assist the team in responding to ad hoc queries/requests.
•Be proactive in providing feedback/ideas on procedures/controls/process to management in order that streamlining can occur or improvements to processes can be made.
•Assist in the delivery of training etc to other Controls and Testing team members and the business aligned compliance team
•Liaise with internal/external auditors and regulators where required.
•Provide KPIs to the business aligned compliance team on the execution of the CT plan.

REQUIREMENTS
Education Experience:
•Ideally holding either a university degree (or equivalent) or professional qualification e.g. Investment Management Certificate, Investment Administration Qualification or undertaking such qualification.
•Experience in leading large cross jurisdictional teams
•Experience in risk assessment, including the identification and evaluation of risks
•Experience in the evaluation of controls designed to meet specified objectives
•Experience in the design of control operating effectiveness testing
Specific Technical Knowledge/Qualifications:
Essential:
•Standard desktop applications e.g. Microsoft Office/Lotus Notes, Microsoft Word and Excel.
•Solid understanding and knowledge of risk assessment and controls methodology.
•Knowledge of FSA, EMEA and/or SEC regulations is desirably.
Personal Profile:
•Must have good analytical and communication skills.
•Strong analytical, written communication, interpersonal, organizational and presentation skills.
•Ability to work accurately and on own initiative.
•Detail and deadline oriented.
•Previous management experience

State Street Id: 48986

Location: London

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