Performs highly complex internal auditing work on AML Bank Secrecy and related laws and regulations. The AML Audit Director may supervise multiple teams of staff across various AML audit engagement and is viewed as an authority in AML laws regulations and related compliance processes.
Responsible for building and maintaining relationships with senior management on AML issues as well as interacting with external stakeholders such as external auditors and regulators, maintains all organizational and professional ethical standards works independently under minimal supervision and is able to exercise extensive latitude for initiative and independent judgment.
Leads AML audits of the highest technical complexity including conversions consolidations acquisitions new businesses and highly complex business units with many integrated components.
Provides major input to audit engagement planning fieldwork identification development and documentation of audit issues and recommendations and their reporting.
Identifies and evaluates risk areas and provides key input to the development of the annual audit plan.
Manages the implementation of AML audit procedures including (but not limited to) identifying and defining issues reviewing and analyzing evidence and documenting auditee processes and procedures.
Provides advice and counsel to management on complex AML risk management and control issues.
Represents the internal audit function on enterprise-wide taskforces and other initiatives.
Develops and presents Audit position papers on AML issues.
Works independently under general supervision with extensive latitude for initiative and independent judgment.
Performs other audit related work as assigned. B. Span of Control
May supervise multiple teams of staff members on audits.
Provides ongoing AML training and technical expertise and support to other audit staff. C. Complexity
Supervises audits of complex and diverse business units as well as audits related to conversions consolidations acquisitions new businesses and other multi-dimensional projects.
Is viewed as an authority on AML/BSA and related laws and regulations. D. Relationship Management
Establishes and maintains working relationships with line management auditees and external parties.
Effectively represents internal audit on project teams at management meetings and presents and reports audit findings to senior management.
Works closely with internal clients and other interested parties without compromising the objectivity and independence of the audit function.
Develops a personal network of people who are industry/business experts drawing on the experience of others to learn more about the organization. E. Audit Administration
Assists the Group Manager and Vice President in developing audit plans. F. Professional Conduct
Maintains all organizational and professional ethical standards.
Ensures work performed meets or exceeds established quality standards and establishes review process to ensure adherence.
Pursues professional development opportunities including external and internal training and professional association memberships and shares information gained with co-workers.
5 or more years of full-time experience in AML internal or external auditing compliance or other related field.
Laws and regulations related to managing risk for AML/BSA
Other financial institution laws regulations and compliance management programs
Auditing information technology
Meeting facilitation and presentation skills
Business process and controls engineering
Knowledge of Interagency Requirements for AML Compliance
Knowledge of AML control and systems requirements for fraud and money laundering detection
EDUCATION: Bachelors degree from an accredited college or university. Professional certification such as a CAMS CRCM CIA CPA CRCM or CISA.
JOB DURATION: This job is full time and long term.
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