The Sr. Audit Manager & Anti-Money Laundering Auditor (AMLA) is required to audit our New York Branch BSA/AML & OFAC Compliance including Compliance work conducted by the firm outside the United States on our behalf.
The AMLA will generate quarterly status reports for the NY State Department of Financial Services as well as internal clients. In addition, this role will assist the Regional Head of Audit in providing a level of local audit coverage that meets US regulatory requirements in all material respects and will serve as the deputy to the Regional Head of Audit.
The incumbent will be required to undertake risk assessments and perform or lead, where directed, internal audit engagements of diverse business units or functions to deliver the US Audit plan as well as participate from time to time in audits conducted by Group Internal Audit in the Americas and to a lesser extent outside the Americas. The incumbent will also lead all AML audits.
The core elements of the role are detailed below; however the work in Group Internal Audit is very varied, so there is an element of the role which will be ad hoc in response to specific issues.
Conduct all AML audits. Liaise with and provide information to Regulatory bodies in a timely and efficient manner
Review the work of other auditors on the team, providing oversight and quality assurance
Assist in the development and execution of the GIA audit plan for the Americas and to a lesser extent elsewhere.
Establish and develop effective working relationships with Management of business units for which incumbent has risk assessment responsibility
Act as liaison with Management to ensure full understanding of business strategy, plans, products, performance and risk-related issues at business unit level and communicating these to applicable people within GIA
Perform, support or lead where directed, the planning, fieldwork, and reporting of internal audit engagements to deliver agreed assurance objectives to established standards and timelines
Provide non-assurance services to business units where required, through participation on advisory engagements / special projects within the Group
Share knowledge, skills and experience within GIA. Identify and escalate significant issues
Management of junior audit staff team members
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Starpoint is an Equal Opportunity Employer.