Head of Audit for Human Resources, Legal, Organizational Behavior and Legal Entity Audit, MD

Head of Audit for Human Resources, Legal, Organizational Behavior and Legal Entity Audit – Managing Director

Who we are looking for

In this role, you will lead Corporate Audit’s global portfolio covering Human Resources, Legal, Global Security, ESG, Regulatory Liaison, Workplace Conduct, Investigations and Organizational Behavior, together with audit coverage of the India legal entity and hub location. You will report directly to the Global Head of Audit for HR, Legal, Finance, Custody and the Asia region, and lead a team of audit professionals across the United States and India. You will set the coverage approach across the portfolio, establish Corporate Audit’s enterprise-wide framework to audit organizational behavior, and strengthen how investigation and speak-up matters referred to Corporate Audit translate into control improvements. The role will be based in Boston, MA or New Jersey and may be performed in a hybrid model, with expectation to be in office 4 days per week.

Key responsibilities of this role include:

• Lead Portfolio Audit Coverage: Develop, own and execute a risk-based global assurance plan and coverage approach across the portfolio, responsive to emerging risks and regulatory developments.
• Establish Organizational Behavior Auditing: Build, operationalize and embed an enterprise-wide approach for auditing organizational behavior, supported by methodology and risk indicators.
• Strengthen Investigation Outcomes: Enhance Corporate Audit’s handling of speak-up and investigation referrals so that conclusions address underlying control and process gaps, with remediation tracked to closure.
• Provide Legal Entity Assurance: Lead audit coverage of the hub location and support legal entity governance and Board reporting.
• Lead Teams and Influence Stakeholders: Build a high-performing global team and engage senior management, governance committees and regulators to drive sustainable improvements.

Why this role is important to us

The team you will be joining plays a critical role in the overall success of the organization. The portfolio covers risks that shape our people, conduct, legal and control environment, including our India hub, which is home to a significant part of our workforce. Institutional investors rely on us to help them manage risk, respond to challenges and drive performance, and our regulators and Board rely on Corporate Audit for independent assurance that these risks are well governed. Join us if you are ready to shape how internal audit addresses behavioral and conduct risk in a global financial institution.

What you will be responsible for

As Head of Human Resources, Legal, Security, Organizational Behavior and Legal Entity Audit, you will:

• Drive the development and execution of a risk-based audit plan for the portfolio through risk assessments that consider existing and emerging risks, strategic initiatives, regulatory expectations and the effectiveness of the control environment.
• Lead the design, implementation and continued evolution of Corporate Audit’s Organizational Behavior audit framework, methodology and risk indicators, in line with Institute of Internal Auditors requirements, and deploy it across standalone, thematic and integrated audit coverage.
• Build the behavioral risk knowledge, skills and capability maturity of the entire audit function to cover organizational behavior risks, and represent the third line on this topic across State Street.
• Strengthen and further formalize Corporate Audit’s review of speak-up and whistleblower matters, ensuring conclusions extend beyond individual conduct to identify contributing control or process gaps, and that resulting actions are tracked, validated and closed.
• Lead audit coverage of the India legal entity, including delivery of risk-based audits, supporting Legal Entity Board reporting, including views on regulatory compliance.
• Review, approve and communicate audit deliverables, including findings, memos, reports and thematic insights, to senior and executive management and governance committees.
• Influence effective and sustainable improvements to processes and controls through insights gained from risk and control expertise.
• Participate as a non-voting member of steering committees and management working groups, promoting balanced discussion and encouraging challenges and debate.
• Provide insight into the evolving regulatory environment and interact with global and local regulators.
• Develop and maintain stakeholder relationships across the portfolio, increasing risk insight and awareness.
• Build, lead and develop a global team, including talent management, hiring and succession planning.

What we value

These skills will help you succeed in this role:

• Excellent analytical, written communication, interpersonal, organizational and presentation skills, including communicating with Boards, committees and regulators.
• Sound risk and control judgment, professional skepticism and the confidence to challenge constructively at senior levels.
• Experience overseeing sensitive investigations or reviews and reaching well-supported conclusions.
• Understanding culture, conduct, or behavioral risk and how it links to governance and control outcomes.
• Strategic mindset and ability to clearly articulate vision, drive adoption and measure the success of initiatives.
• Experience developing and maintaining relationships with executives, senior management, regulators, and audit staff.
• Role model desired behaviors in cross-cultural awareness and establish a collaborative and inclusive work environment.
• Ability to manage complexity, prioritize effectively, and work independently in non-routine situations and a changing environment.
• A very high degree of professionalism, integrity, discretion and curiosity, with a desire to drive to the root cause of issues.

Education & Preferred Qualifications

• Relevant Bachelor’s or equivalent. Postgraduate qualifications are desired but not mandatory.
• One industry-recognized certification (e.g., CIA, CPA, CISA) is required.
• 15+ years of experience in audit or assurance, ideally in banking or another regulated financial services environment, with related subject matter experience.
• Experience leading global or legal entity audit portfolios; experience in HR, legal, conduct, investigations or culture-related audits is preferred.
• Demonstrated experience in leading and developing diverse teams and overseeing multiple large-scale projects.

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.

Salary Range:

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.

Employees are eligible to participate in State Street’s comprehensive benefits program, which includes: our 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 our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.

For a full overview, visit https://hrportal.ehr.com/statestreet/Home.

About State Street

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.

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.

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Job Application Disclosure:

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.