Regulatory Advisory Senior Manager - Anti-Financial Crimes Internal Audit

Description & Requirements

How you will contribute:

• Lead and Manage Audits: Plan, execute, and oversee internal audit reviews of AML and Sanctions programs to ensure compliance with regulatory requirements and internal policies.
• Audit Methodologies: Apply and enhance internal audit methodologies, including risk assessment, audit planning, audit execution, and reporting.
• Audit Reporting: Prepare detailed audit reports with clear findings, recommendations, and action plans. Communicate audit results to senior management and clients.
• Risk Assessment: Conduct comprehensive risk assessments to identify potential areas of risk within AML and Sanctions programs.
• Regulatory Compliance: Ensure that audit activities comply with relevant regulatory standards.
• Risk Management Technologies: Utilize and understand technologies used to manage risk, including the principles of model validation, to ensure the effectiveness and reliability of AML and Sanctions programs.
• Client Engagement: Build and maintain strong relationships with clients, providing expert advice and insights on AML and Sanctions compliance and internal audit best practices.
• Team Leadership: Mentor and develop junior audit staff, providing guidance and support to enhance their professional growth and audit skills.
• Continuous Improvement: Stay updated on industry developments, regulatory changes, and best practices in AML and Sanctions compliance and internal audit methodologies.
• Business development: Supporting business development activities by leveraging existing relationships, supporting development of new propositions, and publishing articles on hot topics

We are looking for people who have Forward Vision and:

• Independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation
• Strong analytical and critical thinking skills, with the ability to interpret complex data and regulatory requirements.
• Excellent verbal and written communication skills, with the ability to clearly convey audit findings and recommendations to diverse audiences.
• Professional demeanor toward duties and responsibilities, particularly regarding independence, professional ethics, and the exercise of professional judgment
• Strong organizational, time management, and interpersonal skills

Minimum Qualifications:

• 8 years or more of experience in Internal Audit roles with a focus on AML and Sanctions programs within the financial services industry.
• Proven experience in applying internal audit methodologies, including risk assessment, audit planning, fieldwork, and reporting. Familiarity with audit frameworks such as COSO, IIA Standards, and other relevant frameworks.
• CAMS certification
• BA or BS in Accounting, Finance, Business, or related field
• Proficiency in MS Office: Word, Excel, PowerPoint, and Outlook

Preferred Qualifications:

• Data Analysis: Familiarity with data analytics tools and techniques to identify trends, anomalies, and potential areas of concern within AML and Sanctions activities.
• Master's degree in Business, Accounting, Finance, or related field

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New York City Pay Transparency

Pursuant to the pay transparency laws of New York State and other local ordinances within the state including (but not limited to) New York City, the salary range displayed is for the New York markets. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. FORVIS reserves the right to make changes to the salary range based on business needs.

New York Salary Range:

NY Minimum Salary (USD)

$ 148,800

NY Maximum Salary (USD)

$ 200,000