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Job Details

Senior Manager/VP- Compliance/AML Audit

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JOB DESCRIPTION
Job #: 11942
Status: Active
Title: Senior Manager/VP- Compliance/AML Audit
Job Location: NY-Manhattan
Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV)
Job Categories: Audit ; Investment Banking; Investments & Securities
Industries: None
Base Compensation:
Low: $120,000       High: $150,000
Total Compensation:
Low: $140,000       High: $180,000
Bonus, Incentives, etc.: bonus, performance based
Overnight Travel: Limited Travel
Is Employer Willing to Relocate?: No
Employment Type: Full Time / Direct Hire
 
Why is This a Great Opportunity?
Our client, a leading NY-based investment bank, seeks an accomplished compliance audit professional to join their Internal Audit team as a Senior Manager/VP. The hired candidate will provide support ensuring complete audit coverage of the firm’s management of regulatory requirements. The candidate should have strong technical competency and demonstrated past experience handling IA matters concerning various banking regulations and Anti-Money Laundering regulations. Relocation packages considered for competitive candidates outside of the NY tri-state area.
 
Job Description:
Responsibilities: •Establish audit scope, develop audit planning memorandums, complete required test work draft reports documenting findings; • Assist in preparation and execution of audit plans with a focus on company’s compliance activities; • Ensure execution of the audit plan within departmental methodology, policies and standards; • On-going communication with senior Compliance management to discuss the status of the audit plan, results of test work , and quarterly reporting;
 
QUALIFICATIONS
Mandatory Minimum Qualifications - Must Have: • 7-15 years of audit management experience including demonstrable experience auditing financial services regulatory activities, particularly Anti Money Laundering requirements. • Strong technical understanding of the financial services regulatory environment. • Prior experience communicating with regulators a plus. • BA in Accounting, Economics, Finance • MBA or equivalent post graduate degree is preferred • CPA and/or Certified Regulatory Compliance Manger (CRCM) a plus. • Ability to travel when required.
 
Education: None
 
Certifications: Certified Anti Money Laundering Specialist; Chartered Compliance Analyst; Certified Regulatory Compliance Manager
 
Licenses: None
 
Total Years of Experience: 11-15+
 
Years of Experience in Present Position: 1-2+
 
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