Responsibilities- Knowledge of BSA/AML and Sanctions Compliance related risks and controls, banking operations and internal audit.
- Assist with risk assessment of assigned department or functional area in established/required timeline; and assist in developing the draft annual Audit Plan
- Ability to analyze a process and to identify key risks and internal controls, identifying weaknesses in internal controls.
- Assist in planning by participating in information gathering meetings, researching operational/financial data, and preparation of the Audit Planning Memo.
- Participate in risk assessment of assigned department or functional area in established/required timeline.
- Assist in preparation of a risk-based audit program using Regulatory and/or Industry guides, and determine the scope in conjunction with the Audit-in-Charge.
- Conduct audit testing of assigned area and prepare work papers in accordance with department standards.
- Summarize all audit findings/discussion items, and draft audit comments/recommendations with clarity and conciseness.
- Assist with follow up and timely disposition of all assigned findings in accordance with the Bank's Issues Management Policy
- Anticipate challenges in meeting assigned tasks within budget and deadlines and keep Auditor-In-Charge of progress.
- Assist with continuous monitoring of assigned to business areas to assess risk and make appropriate recommendations for adjustments to the Annual Audit Plan
- Serves as internal consultant to departments, as requested
- Develop and maintain effective working relationships with appropriate corporate and business unit management
- Execute on special projects and other assignments as assigned by management.
- Perform other duties as assigned.
Qualifications- Bachelor's or master's Degree is required, and industry certification(s) (e.g., CPA, CISA, CIA) is a plus.
- 3+ years of direct or comparable assurance experience related to Banking and BSA/AML and Sanctions areas
- 1 to 2 years of data analytics experience including
- Analyzing existing SQL queries 12 understand joins, filters, aggregations
- Writing basic to moderate level of SQL queries
- Ability to:
- Extract data from structured sources
- Clean and validate datasets
- Identify anomalies or trends
Success factors include: - Collaborative working style with the willingness to listen to all viewpoints and weigh all facts before coming to a conclusion
- Strong communication skills in working with departmental management and staff, divisional management, and external parties
- Strong team player with ability to offer her/his opinions and yet respect the collective decision
- Good computer skills, be detail-oriented, and have the ability to multi-task
- Flexibility in work hours, locations, and working conditions
Applicants must have legal authorization to work in the United States. We do not offer visa sponsorship at this time.
CompensationThe base pay range for this position is USD $75,000.00/Yr. - USD $95,000.00/Yr. Exact offers will be determined based on job-related knowledge, skills, experience, and location.
