Quality Assurance Manager

1 month ago

Charlotte, United States Bank of America Full time
Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We're devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference.

Join us

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.

Bank of America Corporate Audit and Credit Review (CACR) provides independent assessments of key processes and controls across the Company in support of the Company's Risk Framework and business strategies. The mission of CACR is to support the Company's risk governance framework effectively and efficiently by determining whether controlling processes and controls over strategic, credit, market, liquidity, operational, compliance, and reputational risks are adequately designed and functioning effectively.
  • The Quality Assurance Team is responsible for ensuring that Corporate Audit activities comply with internal policies and procedures, as well professional standards set forth by industry and regulatory institutions. Responsibilities include but are not limited to:
  • Subject matter expertise of BSA/AML and Fraud related risks with a focus on data, data quality, data flows and a solid business understanding of application of these risks within a large financial institution. Knowledge of key business segments including retail, banking, capital markets, etc.
  • Subject matter expertise in US financial crime regulations including the Bank Secrecy Act/Anti-Money Laundering, Sanctions (e.g., OFAC)
  • Assess the execution of the annual BSA audit work as well as regulatory and partner exams by creating presentation materials and providing timely responses to inquiries.
    • Executes quality assurance reviews of core audit activities i.e. audits, issues validation, audit plan documentation and coverage, and other special projects, using predefined attributes and challenge questions, relevant for the review type and in accordance with the QA strategy.
    • Uses sound analytical skills and possesses product, business and technical expertise to execute assigned AML QA reviews.
    • Independently executes assigned QA review and demonstrates sound project management skills.
    • Exercises critical thinking and judgment to effectively challenge and influence audit partners.
    • Should be able to identify trends and act as a catalyst for improving the audit processes and practices.
    • Should be able to independently draft quality reports and present results to senior audit management across the globe, and engage in discussions about risk and demonstrates QA and AML knowledge.
    • Works with team and shares challenges and learnings from QA review, and also provides inputs for automation and simplification.
  • 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.
  • Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit
  • Maintains business partner relationships, primarily within Audit, to develop business knowledge
  • Exercises sound knowledge of product, business, and technical expertise to effectively challenge audit to improve the quality of work


Responsibilities:
  • 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

Required Skills:

- Bachelor's Degree

- Certified Anti-Money Laundering Specialist (CAMS)

- Minimum 5 years of audit experience in areas related to BSA/AML, sanctions and fraud risk management programs and regulations, banking regulations, local standards, and internal policies.

- Minimum 5 years of experience conducting Bank Secrecy Act /Anti-Money Laundering audits, Risk Management audits, Compliance audits or a combination.

- Minimum 2 years of experience leading audits and performing in the role of auditor-in-charge.

- Analytical Thinking

- Internal Audit Review

- Issue Management

- Risk Management

- Business Acumen

- Coaching

- Project Management

- Relationship Building

- Written Communications

- Attention to Detail

- Critical Thinking

- Technical Documentation

Desired Skills:

- Master's Degree in Auditing, Master's Degree in Accounting, Master's Degree in Finance, or Master of Business Administration

- Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE)

Minimum Education Requirement: Bachelor's Degree

Shift:
1st shift (United States of America)

Hours Per Week:
40

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