Description
This job is responsible for auditing Lines of Business (LOBs) ranging in scale and scope. Key responsibilities include developing audit plans, assessing issues for impact, assigning severity ratings, producing audit reports, and managing business partner relationships. Job expectations may include evaluating the control environment, fostering an inclusive work environment, and managing development of personnel.
Responsibilities :
Skills :
Responsibilities
Subject matter expertise of BSA / AML and Fraud related risks and a solid business understanding of application of these risks within a large financial institution. Knowledge of key business segments including retail, banking, capital markets, etc.
Plan, perform, and lead BSA / AML Compliance and Fraud audits at the enterprise level as well as other diverse lines of business and specialty areas
Subject matter expertise in US financial crime regulations including the Bank Secrecy Act / Anti-Money Laundering, Sanctions (e.g., OFAC)
Support the execution of the annual BSA independent audit as well as regulatory and partner exams by creating presentation materials and providing timely responses to inquiries.
Manage staff during audit engagements and provide feedback on work performed.
Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
Challenge LOB to ensure that the remediation is comprehensive and sustainable
Leverage risk mindset and influence LOB leaders to drive proper remediation of regulatory gaps
As required, engage with regulators to walk through validation work
Develop test plans designed to address the risk and root cause of the issue
Reviewing the work performed by their team including coaching associates
Work with leadership to effectively prioritize issues that may be past due or high risk
Effectively manage time to complete assigned issues within a reasonable timeframe
Proactively communicate status, escalate challenges and findings
Establish and maintain business partner relationships
Actively support peers and broader team during issue validation and other work
Required Skills & Experiences
Bachelors’ Degree or equivalent years of experience
Minimum 10-15 years in Financial Crimes related roles.
Audit, Risk or Compliance experience in Financial Institutions.
Strong understanding of technology, general controls, and other controls
Sound organizational, analytical, oral, and written communication skills including ability to effectively write reports, present to management and various regulators.
Ability to work in a matrix reporting structure.
Ability to successfully communicate to influence management and lead change on both strategic and tactical initiatives.
Excellent interpersonal skills.
Ability to effectively interact with diverse teams.
Sound organizational, analytical, oral, and written communication skills including ability to effectively document issue validation
Understanding of audit practices and methodologies as well as rules for professional and ethical conduct.
Ability to think critically and apply audit and technical expertise.
Desired Skills and Experience
Certified Anti-Money Laundering Specialist (CAMS) or Certified Fraud Examiner (CFE)
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM),
Audit / Assurance or operational experience in large scale enterprise environment / financial institution.
Shift :
1st shift (United States of America)
Hours Per Week :