Senior Compliance Auditor

2 weeks ago

North Kingstown, Rhode Island, United States Citizens Financial Group, Inc. Full time
Job Overview

Senior Auditor - Anti-Money Laundering Compliance and Non-Financial Risk Management

The Internal Audit division at Citizens Financial Group, Inc. is seeking a Senior Auditor to join our specialized team focusing on Anti-Money Laundering compliance and Non-Financial Risk Management. Our Internal Audit team consists of experienced professionals dedicated to delivering an independent and objective assessment of the bank's control environment, risk management practices, and overall culture. As a Senior Auditor, you will lead and/or engage in intricate audits concerning Anti-Money Laundering compliance and associated functions, which include audits of Anti-Money Laundering Due Diligence Management, Currency Transaction Reporting, Financial Intelligence Unit, and Bank Secrecy Act and Office of Foreign Assets Control Programs. Additionally, the team conducts audits related to Non-Financial Risk Management, serving as the independent second line of defense responsible for overseeing risk and control frameworks utilized throughout the organization.

In this role, you will be equipped for a rewarding career filled with new challenges and opportunities for personal and professional growth. As the Senior Auditor, you will manage a defined, typically high-risk segment of audit engagements, executing audit work under supervision across various business lines in accordance with established methodologies, standards, and procedures. Your responsibilities will include ensuring adherence to bank policies, processes, and procedures, while verifying that internal controls and safeguards are both adequate and effective.

Key Responsibilities
  • Prepare for assigned audits by reviewing relevant background materials and previous audit documentation.
  • Identify risks and controls within key business areas and design test plans to evaluate control effectiveness.
  • Conduct detailed compliance testing, applying relevant bank, industry, and regulatory guidelines.
  • Create clear, complete, and well-organized workpapers in line with Internal Audit’s methodology.
  • Communicate potential issues and pertinent information to Internal Audit and business line management effectively.
  • Verify the remediation of issues to ensure adequate risk mitigation.
  • Serve as the lead auditor on segments of larger audit engagements or as the lead auditor on smaller engagements, supervising Staff Auditors.
  • Collaborate with the broader Internal Audit team to assess BSA/AML compliance and risk management practices across bank operations.
  • Perform routine team responsibilities, such as continuous monitoring activities, team scheduling, or representing the Internal Audit team in meetings with business line management.
Qualifications and Skills
  • 3-5 years of experience in internal audit, compliance, or relevant fields related to BSA/AML, sanctions regulations, internal policies, compliance, and/or risk management.
  • Ability to manage multiple projects simultaneously, utilizing strong planning and organizational skills.
  • Critical thinking skills and the ability to work under tight deadlines.
  • Excellent verbal and written communication abilities.
  • Capability to build and maintain relationships with stakeholders effectively.
  • Experience in training and developing junior team members.
  • Bachelor's Degree is required.
  • Preferred certifications include ACAMS and/or CFE/CRCM.
Work Schedule
  • Hours per Week: 40
  • Work Schedule: Monday - Friday, 8:00 am to 5:00 pm
About Citizens Financial Group, Inc.

Equal Employment Opportunity

At Citizens, we prioritize diversity, equity, and inclusion, treating everyone with respect and professionalism. Employment decisions are made based solely on experience, performance, and ability. Citizens Financial Group, Inc. provides equal employment and advancement opportunities to all colleagues and applicants without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability, ethnicity, gender, gender identity or expression, genetic information, marital status, military or veteran status, national origin, pregnancy, race, religion, sex, sexual orientation, or any other category protected by federal, state, or local laws.

Citizens Financial Group, Inc. is a brand name of Citizens Bank, N.A. and its affiliates.

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