- Proficient with control evaluation and the testing of Controls for various AML- regulations particularly with respect to BSA/AML/OFAC , SEC filings , FINRA compliance, Lending, Deposits, CRA, Fair Lending
- Conduct Risk Assessments of major business initiatives, new products and strategies to ensure appropriate controls are implemented
- Identify research, evaluate, and/or resolve Risk issues impacting the business including Sarbanes Oxley / Model Audit Rule.
- Strengthen the processes and controls per the leading practices while addressing the repeated issues as reported by the client’s Internal Audit department
- Ability to independently execute risk-based audits, including risk and control identification and controls testing, with an emphasis on Anti-Money Laundering (AML), Bank Secrecy Act (BSA) and Office of Foreign Assets Control (OFAC) regulations and SEC /FINRA governance processes.
- Participate in Internal Audit’s annual risk assessment and planning
- Document clear and concise workpapers according to IA department standards
- Draft reports to meet standard required for reporting to senior management
- Establish and maintain excellent relationships within the team and across the business
- Review and analyze processes for compliance with regulatory requirements including Sarbanes Oxley / Model Audit Rule.
- Apply operational risk management techniques including, but not limited to: Risk and Control Self-Assessment, Scenario Analysis, Loss Event Reporting, Model Risk Management, including validation.
- Proactively monitor and trend business processes.
- Travel up to 25% may be required based on client requests/commitments.Skill Set:
- 2 - 5 years"rsquo work experience, preferably in the areas of Risk Management, Finance, Capital Management, or Investment Management
- Bachelor"rsquos degree in Finance, Accounting and / or Business Administration
- Professional Certification such as CIA, CPA , CMA , CA or FRM is preferred, but not required