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2 months ago
The VP/AVP Senior Compliance Auditor assists the Team Lead in the oversight, design and execution of audit coverage for Bank of China’s US (BOC USA or the Bank) Compliance program with emphasis on the sanctions (mainly OFAC) program and consumer compliance.
Job Responsibilities:
Include but not limited to:
Drive the audit program enhancements to achieve a “Strong” internal audit function and to meet enhanced prudential standards
- Help plan, design, and execute the audit coverage strategy of the sanctions and regulatory compliance audit programs.
- Prepare and maintain the audit risk assessments. Help design and ensure implementation of the sanctions and regulatory compliance audit programs. Update the audit programs when necessary.
- Perform assigned audits including executing approved audit programs and questionnaires.
- Review audit workpapers covering planning and fieldwork for sufficiency.
- Provide subject matter expertise to assist in the execution of other audits (business, operations, technology, AML) that may have a sanctions, AML or regulatory compliance related risks.
- Ensure the delivery of audit reports and IA feedback is complete, insightful, timely, accurate and concise.
- Act as Auditor-in-Charge (AIC) for the majority of the audits in the audit plan that includes managing the other auditors assigned to the project.
- Act as a staff auditor or support other AICs if needed.
- Follow-up on outstanding examination issues from regulatory exams including regulator “Matters Requiring Attention (MRAs) or observations.
Prompt, oversee and report on corrective actions
- Evaluate management action plans to ensure that they adequately address the audit issues raised.
- Direct and/or perform internal audit issue tracking and validation of issues.
- Follow-up with the responsible business and compliance leaders and their teams to ensure control issues are effectively resolved.
- Coordinate with key compliance stakeholders to identify emerging issues and thematic or systemic control issues affecting the US operation.
Update the audit strategy and program
- Design and ensure implementation of continuous monitoring of the sanctions and compliance risks.
- Collect and analyze sanctions and compliance program related information in designated areas from regulators, Head Office and branches.
- Update the audit programs, risk assessment and audit plans.
- Establish and maintain relationships with internal stakeholders.
Improve audit toolset
- Identify and recommend improvements for departmental performance.
- Partner with data analysts to design and apply re-usable tools to automate testing, sampling, re-performing processes, and exception testing.
- Optimize the use of the audit workflow tools.
Build expert knowledge
- Design the auditor professional development plan specific to sanctions and regulatory compliance related skills.
- Provide instructional leadership and establish clear expectations to staff.
- Provide coaching and on-the-job training to audit staff.
Other
- Assist the Head of Department on regulatory management and external auditor requirements.
- Support other departmental initiatives.
- Support the AML Team or other IAD teams as needed.
- Be a project manager on special projects.
Qualifications:
- Bachelor’s degree in Business or related areas is required; Master’s degree is preferred.
- Minimum 5 years of work experience in a control, risk, compliance or audit role at large banking organizations or regulatory experience in a senior management role in compliance or AML is required for the AVP level and minimum 8 years of such experience is required for the VP level.
- Experience as a bank examiner, auditor, consultant or compliance professional with an understanding of OFAC, BSA, AML, KYC, USA PATRIOT Act, consumer compliance regulations, corporate compliance or other bank regulations is required.
- Experience in ensuring the sufficiency of analytical procedures and documentation to support audit standards and bank regulatory expectations.
- Experience in establishing and meeting goals, tracking and driving optimization opportunities, and presenting progress.
- Specific experience using computer assisted auditing tools to improve sampling and audit test assertions is required.
- Demonstrates excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management.
- Ability to build rapport with internal stakeholders and examiners.
- Proven manager with an established record of accomplishment of overseeing and executing multiple deliverables.
- Capability and willingness to develop staff on technical and soft skills is required.
