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About the Role
The Senior Vice President (SVP), Head of Assurance and Testing is responsible for defining the strategy, roadmap, execution, governance, and continuous enhancement of an enterprise Assurance and Controls Testing Center of Expertise (COE). The role will build the capability from an organic startup and progressively onboard business controls suites through a modular intake model. They will position the COE, initially in the first line of defense, but ultimately to serve all State Street through consistent, scalable, risk-based, and technology-enabled assurance where it makes sense.
Responsibilities
- Develop the strategy and multi-year roadmap to establish, embed, and scale an enterprise Assurance and Controls Testing utility.
- Build the foundational capability and evolve with demand, starting with enterprise-wide standardized controls.
- Define and implement the target operating model, governance, intake approach, service model, cadence, decision rights, and implementation priorities required to scale the utility effectively.
- Establish risk-based annual and multi-year assurance planning aligned with enterprise priorities, regulatory expectations, corporate policies, and emerging risks.
- Own and continuously enhance assurance methodologies, standards, procedures, and testing practices across design assessments, operating effectiveness testing, outcome-based reviews, and issue validation activities.
- Standardize and implement controls testing protocols, including sampling, evidence requirements, documentation, execution, workpapers, and reporting expectations.
- Assess and enhance quality assurance and quality control requirements, including gating controls into Archer and, where appropriate, the treatment and gating of issues.
- Establish governance processes supporting quality, independence, consistency, documentation, examiner readiness, calibration, and continuous improvement.
- Lead the uplift of assurance and testing for automated controls by developing the methodology, standards, and practical playbook.
- Oversee enterprise assurance execution across multiple business lines and functional areas, including coverage, testing progress, issue identification, findings, root causes, remediation expectations, and reporting outcomes.
- Ensure assurance conclusions are supported by effective testing, analysis, evidence, and professional judgment and are capable of withstanding regulatory and audit scrutiny.
- Partner with business leaders to establish service-level agreements, delivery expectations, operating model responsibilities, service cadence, escalation protocols, and performance measures.
- Build trusted relationships across business units and risk partners to support disciplined intake, adoption, accountability, and expansion of the utility.
- Partner with the First Line AI Development Lead and the Third Line of Defense on automated testing programs and enterprise rollouts.
- Champion the use of data analytics, automation, and AI-enabled testing to improve coverage, consistency, timeliness, and insight while maintaining appropriate governance and review.
- Spearhead the development and adoption of continuous monitoring and continuous testing capabilities.
- Develop enterprise reporting and management information to improve coverage decisions, utility performance, and executive insight.
- Assess the capabilities of existing testing teams and develop an integrated talent, leadership, skills, resourcing, and succession plan.
- Manage assurance demand, workforce allocation, and use of centralized testing resources and specialized assurance talent.
- Review the current location strategy and delivery footprint to identify opportunities for refinement, efficiency, sustainable scale, and improved productivity while maintaining quality and coverage.
- Partner with the India BRM Lead to strengthen the assurance and testing community in India, including connectivity, capability development, engagement, and integration with the broader enterprise utility.
- Serve as a senior representative for FLOD Assurance with regulators, internal audit, external audit, senior management, and governance committees.
- Communicate assurance results, emerging themes, key risks, progress, dependencies, and decisions clearly to executive leadership and governance forums.
- Build strong partnerships across the First, Second, and Third Lines of Defense and support regulatory examinations, internal reviews, and management commitments related to assurance activities.
- Maintain an active external network of industry peers, consultants, and assurance professionals; monitor developments in assurance, controls testing, automation, and continuous monitoring; and translate relevant insights into the State Street roadmap.
- Provide enterprise leadership for the assurance and controls testing agenda, balancing strategic design with disciplined execution.
- Lead and inspire an inclusive, high-performing team with the capabilities required to support traditional and technology-enabled testing.
- Create clarity of ownership, decision rights, and accountability across the utility, business units, and partner functions.
- Foster a culture of accountability, challenge, objectivity, collaboration, and continuous improvement.
- Develop leadership capabilities across managers and senior assurance practitioners.
- Promote collaboration across business, risk, compliance, and audit functions.
Requirements
- Bachelor's degree in Business, Finance, Accounting, Risk Management, Audit, or related field.
- 15+ years of experience in risk management, controls assurance, internal audit, regulatory compliance, operational risk, or related disciplines.
- Significant experience leading large-scale assurance, audit, or control testing programs.
- Deep understanding of risk and control frameworks, regulatory expectations, and governance practices.
- Proven experience leading large, geographically dispersed teams.
- Advanced degree (MBA, MS, or equivalent).
- Professional certifications such as CPA, CIA, CRMA, CISA, CRCM, or equivalent.
- Experience driving transformation initiatives involving analytics, automation, or AI-enabled assurance.
- Experience interacting with regulators and executive governance committees.
Skills
- Risk Management
- Controls Assurance
- Internal Audit
- Regulatory Compliance
- Operational Risk
- Assurance Methodologies
- Standards
- Procedures
- Testing Practices
- Design Assessments
- Operating Effectiveness Testing
- Outcome-Based Reviews
- Issue Validation
- Controls Testing Protocols
- Sampling
- Evidence Requirements
- Documentation
- Execution
- Workpapers
- Reporting
- Quality Assurance
- Quality Control
- Governance Processes
- Automated Controls Testing
- Continuous Monitoring
- AI-enabled Assurance
- Data Analytics
- Transformation Initiatives
- Stakeholder Engagement
- Regulatory Engagement
- External Engagement
- Talent Management
- Leadership
- Team Building
- Collaboration
Location
- State Street
Work Type
- Full-time
Experience Level
- Senior Vice President (SVP)
- 15+ years of experience
Education Level
- Bachelor's degree
- Advanced degree (MBA, MS, or equivalent)
Salary/Compensations
- $225 000 - $337 500 Annual
Benefits
- Retirement savings plan (401K) with company match
- Insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
- Paid-time off including vacation, sick leave, short term disability, and family care responsibilities
- Access to Employee Assistance Program
- Incentive compensation including eligibility for annual performance-based awards
- Eligibility for certain tax advantaged savings plans
About the Company
- 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.
- We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential.
- As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most.
- Join us in shaping the future.
Equal Opportunity
- As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.