Senior Compliance Auditor

3 days ago

New York, New York, United States Bank of China Limited, New York Branch Full time
Job Title: Senior Compliance Auditor

Join Bank of China Limited, New York Branch as a Senior Compliance Auditor and play a key role in ensuring the bank's compliance with regulatory requirements and internal policies.

Job Summary:

The Senior Compliance Auditor will assist the Team Lead in the oversight, design, and execution of audit coverage for the bank's Compliance program, with a focus on sanctions and regulatory compliance. The successful candidate will have a strong understanding of OFAC, BSA, AML, KYC, and other bank regulations.

Responsibilities:
  • Drive the audit program enhancements to achieve a strong internal audit function and 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 and 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 that may have 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, managing other auditors assigned to the project.
  • Follow-up on outstanding examination issues from regulatory exams, including regulator Matters Requiring Attention (MRAs) or observations.
Requirements:
  • 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, with the 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.
What We Offer:

Bank of China Limited, New York Branch offers a competitive salary range of $65,000 to $230,000 per year, commensurate with relevant years of experience, skillset, education, and other qualifications.

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