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Senior Compliance Audit Manager
2 months ago
Founded in 1912, Bank of China Limited, New York Branch is among the world's leading financial institutions, boasting over $3 trillion in assets and a presence in more than 60 countries and regions. Our extensive experience and global reach enable us to provide clients with a dependable financial partnership across various sectors, including Corporate and Personal Banking, Trade Services, Commodities, Financial Institutions, and Global Markets.
Overview
The Senior Compliance Auditor plays a crucial role in supporting the Team Lead in the management, design, and execution of audit coverage for the Compliance program at Bank of China Limited, with a particular focus on sanctions (primarily OFAC) and consumer compliance.
Key Responsibilities
Responsibilities include, but are not limited to:
Enhancing the Audit Program
- Assist in planning, designing, and executing the audit coverage strategy for sanctions and regulatory compliance audits.
- Prepare and maintain comprehensive audit risk assessments, ensuring the design and implementation of the audit programs are up to date.
- Conduct assigned audits by executing approved audit programs and questionnaires.
- Review audit workpapers for thoroughness in planning and fieldwork.
- Provide subject matter expertise to support the execution of other audits related to business, operations, technology, and compliance risks.
- Ensure audit reports and feedback are delivered in a complete, insightful, timely, accurate, and concise manner.
- Serve as Auditor-in-Charge (AIC) for most audits in the plan, managing other auditors involved in the projects.
- Support other AICs or serve as a staff auditor as needed.
- Follow up on outstanding examination issues from regulatory reviews.
- Evaluate management action plans to ensure they adequately address audit findings.
- Direct and/or perform tracking and validation of internal audit issues.
- Collaborate with business and compliance leaders to ensure effective resolution of control issues.
- Coordinate with compliance stakeholders to identify emerging issues and systemic control challenges.
- Design and implement continuous monitoring of sanctions and compliance risks.
- Collect and analyze relevant information from regulators and branches.
- Update audit programs, risk assessments, and audit plans as necessary.
- Establish and maintain relationships with internal stakeholders.
- Identify and recommend enhancements for departmental performance.
- Collaborate with data analysts to create reusable tools for automating testing and sampling processes.
- Optimize the utilization of audit workflow tools.
- Develop a professional development plan for auditors focusing on sanctions and regulatory compliance skills.
- Provide instructional leadership and set clear expectations for staff.
- Offer coaching and on-the-job training to audit personnel.
- Assist the Head of Department with regulatory management and external auditor requirements.
- Support other departmental initiatives and projects as needed.
- Engage with the AML Team or other Internal Audit Division teams as required.
- Act as a project manager for special initiatives.
- A Bachelor's degree in Business or a related field is required; a Master's degree is preferred.
- A minimum of 5 years of experience in control, risk, compliance, or audit roles within large banking organizations is required for the AVP level, and at least 8 years for the VP level.
- Experience as a bank examiner, auditor, consultant, or compliance professional with knowledge of OFAC, BSA, AML, KYC, and consumer compliance regulations is essential.
- Proficiency in ensuring the adequacy of analytical procedures and documentation to meet audit standards and regulatory expectations.
- Experience in establishing and achieving goals, tracking optimization opportunities, and presenting progress effectively.
- Specific experience with computer-assisted auditing tools is required.
- Excellent communication and interpersonal skills are necessary, with the ability to present complex issues to senior management.
- Proven ability to build rapport with internal stakeholders and examiners.
- Demonstrated management skills with a successful track record of overseeing multiple deliverables.
- Willingness and capability to develop staff in both technical and soft skills.
The actual salary will be commensurate with the candidate's relevant experience, skill set, education, and other qualifications.
USD $65,000.00 - $230,000.00 /Yr.
