JOB DESCRIPTION:

This job is responsible for overseeing assigned areas of audit work acting as an Auditor-in-Charge (AIC) and executing on the audit strategy for Lines of Business (LOBs). Key responsibilities include driving risk-based auditing by defining scope and test procedures to evaluate the control environment in conformance with audit policies, assessing issues for business impact and recommending severity ratings, drafting audit reports, and managing business partner relationships. Job expectations include fostering an inclusive work environment, and mentoring team members.

REQUIRED SKILLS:

• Strong audit experience in areas related to Sanctions and risk management programs and regulations, banking regulations, local standards, and internal policies.
• Experience conducting Sanctions audits, Risk Management audits, Compliance audits or a combination.
• Experience leading audits and performing in the role of auditor-in-charge
• Excellent project management, interpersonal, oral and written communication skills; strong attention to detail and accuracy
• Exceptional analytical and critical thinking abilities; Able to develop and convey a point of view.
• Professionalism, dependability, integrity and trustworthiness combined with a cooperative attitude. Able to thrive in a dynamic team environment.
• Highly motivated self-starter with ability to multitask and complete assignments within time constraints and deadlines. Individual with desire to learn and teach others, high energy, positive attitude.
• Proficiency in Microsoft Office products
• Bachelor’s Degree.
• CIA, CAMS, sanctions certifications are preferred.

• Subject matter expertise of Economic Sanctions related risks and a solid business understanding of financial services industry, especially those associated with correspondent banking, corporate banking, treasury management and capital markets conducting sanctions reviews.
• Plan, perform, and lead Economic Sanctions 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 OFAC, and EU, UK Sanctions regulations.
• Perform audit reviews related to Sanctions and other compliance operational work including sanctions screening and alert disposition.
• Support the execution of Sanctions audits 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.
• Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
• Communicate the results of audit projects to management (written reports/oral presentations).
• Establish and build working relationships with internal and external management.
• Perform AML/Sanctions risk assessments of business activities, potential risks exposures, and materiality of loss.
• Demonstrates experience in managing integrated internal audit and assurance delivery.
• Effective influence skills in communicating findings. This individual must be an articulate and effective communicator, both verbally and in writing.
• Strong interpersonal skills for interfacing with all levels of internal and external audit and management.
• Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and drafting audit reports leveraging automation and innovative methods in a timely and high-quality manner.
• Acts as Auditor-in-Charge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards, audit policies, and procedures.
• Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge.
• Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit.
• Oversees a team of associates and provides day-to-day mentoring and guidance and fosters an inclusive work environment.
• Maintains business partner relationships, primarily with line management, to develop business knowledge.
• Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment.