Regulatory Compliance Manager

4 weeks ago


Chicago, Illinois, United States FORVIS Full time
Job Summary

We are seeking a highly skilled Regulatory Advisory Manager to join our team at Forvis Mazars. As a key member of our audit and compliance team, you will be responsible for leading and managing audits of AML and Sanctions programs to ensure compliance with regulatory requirements and internal policies.

Key Responsibilities
  • Lead and manage audits of AML and Sanctions programs to ensure compliance with regulatory requirements and internal policies.
  • Apply and enhance internal audit methodologies, including risk assessment, audit planning, audit execution, and reporting.
  • Prepare detailed audit reports with clear findings, recommendations, and action plans.
  • Communicate audit results to senior management and clients.
  • Conduct comprehensive risk assessments to identify potential areas of risk within AML and Sanctions programs.
  • Ensure that audit activities comply with relevant regulatory standards.
  • 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.
  • Build and maintain strong relationships with clients, providing expert advice and insights on AML and Sanctions compliance and internal audit best practices.
  • Mentor and develop junior audit staff, providing guidance and support to enhance their professional growth and audit skills.
  • Stay updated on industry developments, regulatory changes, and best practices in AML and Sanctions compliance and internal audit methodologies.
Requirements
  • 5 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.
  • 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.

We are an equal opportunity/affirmative action employer. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, gender identity, or other protected classifications.



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