Audit Director for Compliance, CASS, Fraud & Financial Crime, Vice President

Overview

Audit Director for Compliance, CASS, Fraud & Financial Crime, Vice President at State Street. The role leads the strategy for Corporate Audit’s coverage of compliance, client assets source book (CASS), fraud and financial crimes topics for the UK. You will maintain effective partnerships with key senior leaders and program leadership. You will report to the UK Managing Director and support annual audit planning and development, risk assessment, scoping and execution of audits related to compliance, CASS and financial crimes processes and risks.

The role is based in London, United Kingdom, in a hybrid model (4 days onsite, 1 day remote).

• Support the execution of a risk-focused audit plan, review and approve audit work products to ensure thorough coverage and timely escalation of issues and conclusions.
• Influence improvements to processes and controls through risk and control insights.
• Champion continuous improvement in audit practices.
• Drive consistent risk assessment and audit coverage approach of financial crimes and compliance-related controls across Business Units and Corporate Functions.
• Draft, review, finalize and communicate audit deliverables, including audit findings, memos and audit reports to senior and executive management.
• Participate as a non-voting member of steering committees and management working groups, promoting balanced discussions and constructive challenge.
• Provide insight on the evolving regulatory environment and interface with regulators.
• Stay abreast of industry and technical developments and apply them to audit projects.

• Ability to manage complexity, prioritize multiple tasks, and work independently in a fast-paced environment.
• Excellent analytical, problem-solving, communication, interpersonal, organizational and presentation skills.
• Strong communication and relationship-building skills with internal and external stakeholders including senior management and regulators.
• Strong client relationship and team management skills.
• Experience in managing diverse teams and large-scale projects.
• Fluency in English (written and spoken).

• Minimum of 10 years of experience in Public Accounting or First/Second/Third Line of defense within financial services Compliance, CASS, or Fraud and Financial Crimes functions. UK AML/Sanctions subject matter knowledge required.
• Bachelor’s degree, preferably in finance, accounting or related field.
• One or more industry-recognized certifications (e.g., CIA, CAMS, CFE) preferred; willingness to continue learning.
• Proficient in evaluating and testing internal controls and applying a risk-based audit approach.
• Experience in data analytics and data visualization preferred.

While the majority of the time you will work from your primary location, some domestic and international travel may be required to State Street locations.

State Street is a global leader in custody, asset management and related services. We provide investment servicing, data & analytics, research & trading and investment management to institutional clients. We foster a great work environment with competitive benefits, flexible work programs, and development opportunities.

State Street is an equal opportunity and affirmative action employer. We consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, gender identity or sexual orientation, or other characteristics protected by applicable law.