Senior Audit Manager

22 hours ago

Wilmington DE United States Bank of America Full time

Senior Audit Manager - BSA/AML including Sanctions

Location: Charlotte, North Carolina; East Hartford, Connecticut; Plano, Texas; Boston, Massachusetts; Wilmington, Delaware; New York, New York

Job Description:

This job is responsible for auditing Financial Crimes and Anti-Money Laundering (AML) Risk within Lines of Business (LOBs) ranging in scale and scope. Key responsibilities include developing BSA/AML and Sanctions audit plans, assessing issues for impact, assigning severity ratings, producing audit reports, and managing business partner relationships. Job expectations may include evaluating the control environment, fostering an inclusive work environment, and managing development of personnel.

Responsibilities:

  1. Financial Crimes and Anti-Money Laundering (AML) Audits within Lines of Business (LOBs) ranging in scale and scope and produces audit reports in a timely manner that summarize results of an audit to management.
  2. Develops an audit plan, assesses risks, and provides appropriate coverage for current and/or emerging risks.
  3. Leverages a risk mindset to proactively identify risks, analyze themes, and continually evaluate areas of priority against the company’s risk profile and control environment.
  4. Supports Corporate Audit's mission, goals, and strategies, and drives operational effectiveness while demonstrating a strategic mindset and leading and supporting change.
  5. Leads the design and promotes the use of innovative tools and technological elements to drive continuous coverage of company risks.
  6. Maintains business partner relationships for areas assigned and challenges business management to adopt appropriate policies, procedures, and effective controls designed to mitigate risks.
  7. Manages team performance by training, mentoring, defining development plans for team.
  8. Accountable for auditing moderate to complex businesses ranging in scale and scope. Implements and communicates Corporate Audits mission, goals, and strategies.
  9. Responsible for developing an audit plan for assigned areas of responsibility including proper assessment and coverage of risks, including emerging risks.
  10. Demonstrates critical thinking, strategic mindset and leads and supports change. Executes assigned components of the audit plan in a timely manner, within quality standards and in conformance to audit policies and procedures.
  11. Strategic engagement in governance routines, issue remediation / validation, and regulatory engagement.
  12. Provides comprehensive assessment of key products; increases depth of testing for key products inclusive of applicable laws, rules, and regulations particularly BSA/AML and sanctions rules.
  13. Strong financial crimes background with focus on core BSA/AML compliance program requirements including customer due diligence, transaction monitoring, investigations, risk assessment, etc.
  14. Assesses issues for impact to business processes, controls, and strategies, assigns severity ratings and escalates broad themes or trends.
  15. Produces quality and timely audit reports that summarize results of an audit to management. Manages business partner relationships for areas of responsibility, primary engagement with line management. Exercises critical thinking and judgment to effectively influence management to improve the control environment.
  16. Participates in communication with regulatory agencies.
  17. Manages performance of the team, including expense management. Provides effective and frequent coaching and development to assigned audit team.
  18. Responsible for development, retention, and personnel management issues. Fosters an inclusive work environment.

Required Qualifications:

  1. Minimum 10-15 years in Financial Crimes related roles.
  2. Audit, Risk or Compliance experience in Financial Institutions.
  3. Strong understanding of technology, general controls, and other controls.
  4. Sound organizational, analytical, oral, and written communication skills including ability to effectively write reports, present to management and various regulators.
  5. Ability to work in a matrix reporting structure.
  6. Ability to successfully communicate to influence management and lead change on both strategic and tactical initiatives.
  7. Excellent interpersonal skills.
  8. Ability to effectively interact with diverse teams.
  9. Understanding of audit practices and methodologies as well as rules for professional and ethical conduct.
  10. Ability to think critically and apply audit and technical expertise.

Desired Qualifications:

  1. Certified Anti-Money Laundering Specialist (CAMS) or Certified Fraud Examiner (CFE).
  2. Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM).
  3. Audit / Assurance or operational experience in large scale enterprise environment / financial institution.
  4. Bachelors’ Degree or equivalent years of experience.

Skills:

  1. Audit Planning
  2. Coaching
  3. Internal Audit Review
  4. Issue Management
  5. Risk Management
  6. Business Acumen
  7. Critical Thinking
  8. Project Management
  9. Relationship Building
  10. Written Communications
  11. Regulatory Relations
  12. Talent Development
  13. Technical Documentation
  14. Workforce Diversity Management

Shift: 1st shift (United States of America)

Hours Per Week: 40

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