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Temporary Manager, Internal Audit & Compliance QA (Global Banks)

QUALIFICATIONS:

• Extensive 3rd line/internal audit and compliance QA experience within large financial institutions.
• Strong knowledge of compliance, BSA/AML, financial crimes, and regulatory frameworks.
• Experience in validating remediation of regulatory and control issues.
• Understanding of 2nd vs. 3rd line responsibilities and ability to operate independently.
• Excellent analytical, communication, and stakeholder management skills.
• Experience supporting global banking clients is highly desirable.

ABOUT THE ROLE:

RSM’s Global Banks Practice is seeking a highly experienced Manager with strong 3rd line/internal audit and compliance QA experience to support a large global banking client. This temporary engagement focuses on risk, compliance, regulatory issue remediation, and quality assurance, with a specific emphasis on independent assurance activities, validation of controls, and remediation oversight.

KEY RESPONSIBILITIES:

• Lead and execute 3rd line/internal audit activities, including validating remediation of regulatory findings and internal control deficiencies.
• Oversee compliance quality assurance (QA) reviews across operational and regulatory processes.
• Assess risk management, compliance, and control frameworks across the client’s operations.
• Conduct regulatory issue validation for BSA/AML, OFAC, and other financial crimes compliance matters.
• Develop audit and QA programs, testing plans, and reports that clearly communicate findings and recommendations to senior leadership.
• Collaborate with client stakeholders to provide independent assurance and QA oversight of remediation strategies.
• Provide expertise on the distinction between 2nd line and 3rd line responsibilities and ensure alignment with regulatory expectations.
• Recommend process improvements and risk mitigation measures based on QA and audit findings.