Senior Audit Manager (US) - Financial Crimes - AML

Senior Audit Manager The Senior Audit Manager provides specialized in-depth subject matter expertise and may act as a specialized resource on audits. May be responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. Leads and/or provides supervisory oversight to audits and related engagements projects/initiatives and ensure completion. Accountable for a significant audit area that typically has enterprise wide or broad functional / business impact or accountability Requires enterprise or functional expert, requiring broad and deep specialized knowledge at the enterprise level for certain teams May lead and/or provide senior supervisory oversight to very complex audits and ensure completion Undertakes and completes a variety of complex audit initiatives requiring seasoned specialist knowledge and/or the integration of cross functional processes Advanced knowledge of external competition, industry and/or market trends in relation to own function / business Typically deals with senior/executive management May manage and prioritize concurrent multiple projects at a given time Supports operational team direction and collaborates with others to execute on common goals Focuses on long term planning for functional area Ability to process and handle confidential information with discretion Undergraduate degree required 10+ years of relevant experience Experienced AML Audit leader Experience managing a team with two or more direct reports Audit experience reviewing regulatory supervisory letters and management responses and action plans to draft audit test plans Experience working on team to execute audits and manage stakeholders Experience documenting workpapers and reviewing Experience working to meet tight deadlines for on time delivery Experience following test steps to provide independent assurance regarding 1LOD and 2LOD controls Experience applying auditing methods and logic during walk-through meetings to determine RFIs from management Experience with audit methodology and following sampling guidance and requirements Experience in Data analytics ACAMS preferred, but not required Contributes to the strategic direction of the audit function and play a key role in the development and implementation of programs Plans, leads / manages and/or oversees audit activities requiring alignment across multiple areas, and ensures audits are executed and completed in accordance with established standards and within prescribed parameters Oversees / leads audits and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy Oversees / leads the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area Provides direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participate in identifying, designing and testing solutions and supporting the implementation Leads / manages the integrated implementation of policies / processes /procedures / changes across multiple functional areas Acts as the audit lead or audit advisor to management and respective teams for area of specialization. Reports on emerging trends, identifying issues and opportunities and recommending action to senior management Facilitates key discussions and provide thought leadership to executive audience Adheres to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assists in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area Actively manages relationships with business lines / corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where required Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite Participates in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations Provides thought leadership and/or industry knowledge for own area of expertise Encourages a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues / points of interest Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency Works effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services Participates in knowledge transfer within the team and business units Contributes to the overall performance management process by providing coaching and input into team members' assessment on assigned audits Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel Occasional International Travel Never Performing sedentary work Continuous Performing multiple tasks Continuous Operating standard office equipment - Continuous Responding quickly to sounds Occasional Sitting Continuous Standing Occasional Walking Occasional Moving safely in confined spaces Occasional Lifting/Carrying (under 25 lbs.) Occasional Lifting/Carrying (over 25 lbs.) Never Squatting Occasional Bending Occasional Kneeling Never Crawling Never Climbing Never Reaching overhead Never Reaching forward Occasional Pushing Never Pulling Never Twisting Never Concentrating for long periods of time Continuous Applying common sense to deal with problems involving standardized situations Continuous Reading, writing and comprehending instructions Continuous Adding, subtracting, multiplying and dividing Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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