9 days old

Compliance Surveillance Manager

2001 State Street Bank & Trust Co
Boston, MA
  • Job Code

Job Description:

Surveillance is a critical component of the overall Compliance Oversight Program at State Street. Developing Surveillance and analytical procedures to assess key compliance risks is essential to conclude on the adequacy the regulatory posture of business units and to identify enhancements for State Streets global compliance environment. The Compliance Surveillance Manager reports to the Head of Compliance Data Analytics and is responsible for identifying, developing and implementing surveillance activities on key compliance risks that relate to multiple business units. The ideal candidate is well versed on overall compliance requirements applicable to the financial services industry, presents strong communication skills, exceptional coordination capabilities and thrives in a fast paced environment.

This position is perfect for an individual who has previous experience in compliance or audit functions in the Financial Services sector with proven analytical skills alongside an interest in technology and learning new applications/software. It is a role from which a successful candidate may develop a career in Corporate Compliance or in other risk and control areas.

Major Responsibilities:

  • Development and/or enhancements to surveillance methodology and standards including procedures and guidelines.
  • Work in close collaboration with corporate compliance and technology teams in the ongoing development of the program as well as in the delivery of the global compliance surveillance program.
  • Development of risk focused, exception based tests leveraging technology to support increasingly complex and sophisticated global compliance capabilities.
  • Research and review of regulatory obligations as well as applicable policies, procedures and documented guidelines in order to design surveillance techniques related to key compliance risks.
  • Interpretation of regulatory risk and application of this understanding to surveillance exceptions and to the ongoing iterative development or surveillance tests.
  • Advancement of surveillance processes from baseline testing scenarios to more sophisticated and automated surveillance techniques.
  • Organization and management of various compliance workstreams and initiatives.
  • Opportunity to learn and apply in practice a data science approach to statistical analysis of data as part of an evolving surveillance program.


  • Minimum of 9-10 years relevant work experience with risk assessment, internal control, compliance or audit function within the financial services sector
  • Bachelors degree required; MBA or CPA preferred
  • Professional risk management, compliance and audit certifications preferred
  • Proven analytical skills alongside an interest in applying these skills to identify and interpret patterns within data sets
  • Strong interest in technology and learning new applications/software
  • Excellent critical thinking skills
  • Excellent interpersonal, communication (written and verbal), and presentation skills
  • Excellent project management and organizational skills
  • Ability to adhere to deadlines and prioritize workloads
  • Strong customer focus

Sponsored by:
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Sponsored by:
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Compliance Surveillance Manager

2001 State Street Bank & Trust Co
Boston, MA

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2001 State Street Bank & Trust Co
Boston, MA

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