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Head of Regulatory Examination Management, Managing Director, Hybrid

State Street Corporation
Boston, USA
Closing date
Dec 23, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Who we are looking for
The Head of Regulatory Examinations Management is a senior leadership position within State Street's Corporate Compliance Global Regulatory Liaison Office (GRLO). As a part of the GRLO, this role contributes to fostering a positive regulatory culture and promoting proactive interaction with regulatory agencies. The role reports to the Global Head of Regulatory Relations who reports to the Chief Compliance Officer.
The Head of Regulatory Examinations Management is responsible for establishing and maintaining a formal examination management program to facilitate and improve coordination and consistency in practices across regulators, coordinating and facilitating regulatory examinations and other regulatory inquiries, and ensuring transparent communications on examination related areas to promote positive outcomes. You will lead a small team of professionals.
This global role requires in-depth experience and understanding of regulatory agencies supervisory process, excellent communication skills and ability to influence a wide variety of stakeholders, including external regulators.
The role can be performed in a hybrid model, where you can balance work from home and office (four days onsite and one day remote).
Preferred Location: Boston (MA) and New York (NY), however we will also consider applicants from Arizona, California, Connecticut, Florida, Kansas, Missouri, New Jersey, North Carolina, Pennsylvania, Texas.

Why this role is important to us
The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible for
As Head of Regulatory Examination Management, Managing Director you will
  • Implementing and maintaining a global examination program and minimum standards
  • Serving as the primary point of contact during the examination, managing the relationship to ensure expectations are me, this includes coordinating and facilitating regulatory examinations
  • Leading pre-examination readiness exercises, including document readiness, "mock exams" and coaching
  • Ensuring that stakeholders understand what is required of them for various exam requests and following up with the regulatory agency for clarification, as needed
  • Managing Regulatory Exam material requests; not just the collection, but the review/evaluation of artifacts for completeness and accuracy.
  • Establishing a quality control process to ensure documentation provided to the regulatory agency is responsive to agency requests and challenging responses when necessary
  • Communicating to internal stakeholders on the status of the examination, and providing early notice by escalating potential gaps and concerns

What we value
These skills will help you succeed in this role
  • Demonstrated effective written and verbal communication skills, including the ability to communicate technical topics in concise terms
  • Ability to manage multiple projects and deadlines simultaneously

Education & Preferred Qualifications
  • Minimum of least 12 years of management in financial services experience in any of the following disciplines, Bank Regulator or Examiner, Compliance, Risk, Audit or equivalent work experience
  • Sound understanding of regulatory agency supervisory process and experience working with regulators
  • Knowledge and experience associated with Bank products
  • Bachelor's Degree in Business Administration, Finance or Accounting preferred

What we offer
Wide range of benefits, including:
  • Medical
  • Prescription Drug
  • Health Savings Account (HSA)
  • Flexible Spending Accounts (FSAs)
  • Dental
  • Vision
  • Employee-Paid Life and Accidental Death & Dismemberment (AD&D) Insurance
  • Employee-Paid Long-Term Disability
  • Critical Illness Insurance
  • Accident Insurance & Hospital Indemnity Insurance
  • Business Travel Accident Insurance
  • Short-Term Disability
  • Identity Theft Protection
  • Legal Benefits
  • BeWell Programme
  • Paid Time Off
  • Employee Assistance Program (EAP)
  • Salary Savings Program (SSP)

Are you the right candidate? Yes!
We truly believe in the power that comes from the diverse backgrounds and experiences our employees bring with them. Although each vacancy details what we are looking for, we don't necessarily need you to fulfil all of them when applying. If you like change and innovation, seek to see the bigger picture, make data driven decisions and are a good team player, you could be a great fit.

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You'll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.

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Salary Range:
$170,000 - $267,500 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.

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