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 :
- Audits Lines of Business (LOBs) ranging in scale and scope and produces audit reports in a timely manner that summarize results of an audit to management
- Develops an audit plan, assesses risks, and provides appropriate coverage for current and / or emerging risks
- Leverages a risk mindset to proactively identify risks, analyze themes, and continually evaluate areas of priority against the company’s risk profile and control environment
- Supports Corporate Audit's mission, goals, and strategies, and drives operational effectiveness while demonstrating a strategic mindset and leading and supporting change
- Leads the design and promotes the use of innovative tools and technological elements to drive continuous coverage of company risks
- Maintains business partner relationships for areas assigned and challenges business management to adopt appropriate policies, procedures, and effective controls designed to mitigate risks
- Manages team performance by training, mentoring, defining development plans for team
Skills :
- Audit Planning
- Coaching
- Internal Audit Review
- Issue Management
- Risk Management
- Business Acumen
- Critical Thinking
- Project Management
- Relationship Building
- Written Communications
- Regulatory Relations
- Talent Development
- Technical Documentation
- Workforce Diversity Management
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 :
Senior Manager BSA AML Governance
A company is looking for a Senior Manager, BSA/AML Governance & Advisory. ...
Senior Audit Manager - (BSA/AML including Sanctions)
Audits Lines of Business (LOBs) ranging in scale and scope and produces audit reports in a timely manner that summarize results of an audit to management. Plan, perform, and lead BSA/AML Compliance and Fraud audits at the enterprise level as well as other diverse lines of business and specialty area...
IT Audit Senior Audit Manager - Financial Crimes (BSA/AML/Economic Sanctions/Fraud)
Genesis10 is currently seeking an IT Audit Senior Audit Manager - Financial Crimes with our client in the financial industry located in Plano, TX and Dallas, TX. Audit Lines of Business (LOBs) ranging in scale and scope and produces audit reports in a timely manner that summarize results of an audit...
Senior Audit Manager - Credit Risk Portfolio Reviews
A company is looking for a Senior Audit Manager - Credit Risk Portfolio Reviews. ...
Senior Audit Manager - Risk & Control
The Senior Audit Manager is a senior level position responsible for developing and executing a robust Audit Plan, in coordination with the Audit team. Implement integrated auditing concepts and technology, and follow trends in the Audit field and adapt them for the Audit function. The overall object...
Senior Lead Auditor - AML BSA
Key Responsibilities:Coordinate and complete risk reviews through planning, fieldwork, and reporting phasesProvide independent testing and evaluation of BSA/AML and OFAC compliance programsDeliver communication of audit findings and matters to senior managementRequired Qualifications:Bachelor's Degr...
Senior Audit Manager - Audit Practices
Audits Lines of Business (LOBs) ranging in scale and scope and produces audit reports in a timely manner that summarize results of an audit to management. Key responsibilities include developing audit plans, assessing issues for impact, assigning severity ratings, producing audit reports, and managi...
Audit Senior Manager - SEC
Effectively identifying and evaluating audit risk, plan engagements, and executing the designed audit plan to ensure audit engagements are completed with defendable files and documentation. Los Angeles County and City Fair Chance Ordinance", Forvis Mazars will consider for employment all qualified a...
Senior Audit Manager – Financial Regulatory Reporting
The Senior Audit Manager role is responsible for providing independent and objective assurance to improve the organization’s operations and compliance with key regulations by evaluating the effectiveness of risk management, control, and governance processes. Performs scoping for individual regulator...
Senior Manager - Internal Audit
As part of our growing Internal Audit Advisory team, you will work with our clients, including some of the most iconic banks globally, in Internal Audit. Internal audit transformation and technology experience, including GRC platforms, data analytics and tools, and AI. Los Angeles County and City Fa...