Regulatory Advisory Manager

3 months ago

Chicago, United States FORVIS Full time
Requisition Number2233257 Description & Requirements

How you will contribute:

Lead and Manage Audits: Plan, execute, and oversee internal audit reviews of AML and Sanctions programs to ensure compliance with regulatory requirements and internal policies. Audit Methodologies : Apply and enhance internal audit methodologies, including risk assessment, audit planning, audit execution, and reporting. Audit Reporting : Prepare detailed audit reports with clear findings, recommendations, and action plans. Communicate audit results to senior management and clients. Risk Assessment : Conduct comprehensive risk assessments to identify potential areas of risk within AML and Sanctions programs. Regulatory Compliance : Ensure that audit activities comply with relevant regulatory standards. Risk Management Technologies : 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. Client Engagement : Build and maintain strong relationships with clients, providing expert advice and insights on AML and Sanctions compliance and internal audit best practices. Team Leadership : Mentor and develop junior audit staff, providing guidance and support to enhance their professional growth and audit skills. Continuous Improvement : Stay updated on industry developments, regulatory changes, and best practices in AML and Sanctions compliance and internal audit methodologies. Business development : Supporting business development activities by leveraging existing relationships, supporting development of new propositions, and publishing articles on hot topics
We are looking for people who have Forward Vision and:

Independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation Strong analytical and critical thinking skills, with the ability to interpret complex data and regulatory requirements. Excellent verbal and written communication skills, with the ability to clearly convey audit findings and recommendations to diverse audiences. Professional demeanor toward duties and responsibilities, particularly regarding independence, professional ethics, and the exercise of professional judgment Strong organizational, time management, and interpersonal skills
Minimum Qualifications:

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. Familiarity with audit frameworks such as COSO, IIA Standards, and other relevant frameworks. 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
#LI-ATL, #LI-OAK, #LI-CHI, #LI-CNH, #LI-BOST, #LI-CLTSP, #LI-CLTU, #LI-NYC, #LI-TYS

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New York City Pay Transparency

Pursuant to the pay transparency laws of New York State and other local ordinances within the state including (but not limited to) New York City, the salary range displayed is for the New York markets. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. FORVIS reserves the right to make changes to the salary range based on business needs.

New York Salary Range:

NY Minimum Salary (USD)

$ 92,100

NY Maximum Salary (USD)

$ 192,000

With a legacy spanning more than 100 years, Forvis Mazars is committed to providing a different perspective and an unmatched client experience that feels right, personal and natural. We respect and reflect the range of perspectives, knowledge and local understanding of our people and clients. We take the time to listen to deliver consistent audit and assurance, tax, advisory and consulting services worldwide.

We nurture a deep understanding of our clients’ industries, delivering greater insight, deeper specialization and tailored solutions through people who listen to understand, are responsive and consult with purpose to deliver value.

About Forvis Mazars, LLP

Forvis Mazars, LLP is an independent member of Forvis Mazars Global, a leading global professional services network. Ranked among the largest public accounting firms in the United States, the firm’s 7,000 dedicated team members provide an Unmatched Client Experience through the delivery of assurance, tax, and consulting services for clients in all 50 states and internationally through the global network. Visit forvismazars.us to learn more.

Forvis Mazars, LLP is 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.
It is Forvis Mazars, LLP standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates.

Forvis Mazars, LLP expressly reserves the right not to consider unsolicited referrals and/or resumes from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies.
Forvis Mazars, LLP further reserves the right not to pay a fee to a recruiter or agency unless such recruiter or agency has a signed vendor agreement with Forvis Mazars, LLP.Any resume or CV submitted to any employee of Forvis Mazars, LLP without having a Forvis Mazars, LLP vendor agreement in place will be considered the property of Forvis Mazars, LLP.

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