Senior Compliance AuditorPermanent contractNew York, United States
3 months ago
Senior Compliance Auditor
Permanent contract|New York|Audit / Control / Quality
Senior Compliance Auditor
New York, United States Permanent contract Audit / Control / Quality
Responsibilities
The Senior Auditor’s primary responsibility is to lead audit assignments. They are expected to have a high degree of technical proficiency, autonomy, and the ability to oversee and monitor the work of their team. They can run larger and complex audits with minimal supervision or oversight. Some responsibilities will include, but not limited to:
Independently, leading various types of audit missions (including complex, global, multi-team/integrated, etc.,) overseeing all aspects of the audit process and having full ownership of the audits assigned. Preparing high quality and impactful audit reports, especially executive summaries that effectively address the key issues to be raised to management’s attention. Actively participating in department’s continuous monitoring programs - understands the ongoing changes in internal and external environment related to specific audited activities and evaluates the impact of changes on the business and company. Participating in various stages of the annual risk assessment and providing professional conclusions on the risks' evaluation. Coaching the staff to help develop their competencies and provide formal feedback to team members that is objective, constructive and meaningful. Leading and participating in department wide transformation projects and actively contributing, communicating, and implementing the changes, and supporting others through the process.
Profile required
SKILLS AND QUALIFICATIONS:
Technical Skills:
Demonstrate in-depth knowledge of banking products, compliance, and regulatory requirements and / or financial accounting /regulatory reporting. BSA/AML and OFAC sanctions requirements and related processes and controls Corporate compliance topics including FRB letter regulations (Reg D, W, etc.) Payment and message processing ( The Clearing House Interbank Payments System (CHIPS), the Society for Worldwide Interbank Financial Telecommunications (SWIFT), etc.) Strong proven ability to use these skills to plan or execute audits using a risk-based approach (, identify key risks and control points and suggest approaches for testing/sampling)Competencies:
Highly motivated and committed to lead and progress; shows initiative, integrity, and creativity Demonstrates curiosity, motivation, enthusiasm for learning and self-development with high level of independence and autonomy Demonstrates strong organizational/project management skills, able to establish goals, priorities, and realistic plans that maximize use of available resources; able to meet all deadlines; able effectively delegate, make decisions, solve difficulties and timely escalate issues Demonstrates willingness and readiness to provide support and collaborate to promote team spirit Establishes relationships with junior team members; actively coaches, provides training, shares knowledge, feedback and support Demonstrates openness to new ideas; able to propose and actively initiate process improvement Demonstrates a high level of written and oral communication skills through audit reports, meetings and presentations Able to maintain effective relationships with auditees and audit counterparts and facilitates conflict resolution Demonstrates strong analytical skills, able utilize data analytics tools to extract and analyze dataEducation/Prior Experience:
Bachelor's Degree in Business, Accounting, Finance, Economics or other relevant topic 6+ years of work experience in financial services, internal auditing, or relevant risk management positions Experience in managing entire audit process-
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