Senior Auditor Banking and Capital Markets AML
Under administrative direction, uses extensive knowledge and skills, obtained through education and experience, to conduct comprehensive operational audits and develop risk profiles in assigned processes within a functional area. Leads the work of others in conducting operational audits with smaller scope and complexity. Participates in large or multiple audit projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Extensive contact with internal customers and management is required to identify, research, analyze and resolve complex issues.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
* Plans, assigns, schedules, reviews and directs the work of others.
* Develops operational audit programs, including determining audit objectives and scope, procedures and internal control reviews to ensure compliance with policies and procedures.
* Identifies, analyzes and recommends changes to core business processes to minimize risk, increase service levels and improve process efficiency and prepares follow plans to ensure recommendations are addressed.
* Identifies and assesses business risks associated with assigned business processes.
* Makes recommendations for improving assigned business processes and internal controls.
* Identifies potential process improvements to assigned to increase the effectiveness and efficiency of operations.
* Serves as a technical resource to other auditors.
* Identifies, reviews, assesses and documents risk management and control issues.
* Tests or reviews testing of key controls to provide due diligence in compliance with organizational policies for risk management.
* Prepares and communicates recommendations for strengthening controls and assists management in developing action plans to address control weaknesses.
* Ensures that assistance to external auditors is provided, as required.
* Prepares written reports and delivers oral presentations to internal customers and management.
* Maintains currency in operational audit processes and procedures.
* Performs other duties and responsibilities as assigned.
KNOWLEDGE, SKILLS, AND ABILITIES:
* Advanced concepts, practices and procedures of operational auditing.
* Advanced investment concepts, practices and procedures used in the securities industry.
* Principles of banking and finance and securities industry operations.
* Financial markets and products.
* Planning, organizing and conducting operational audits.
* Identifying key business processes.
* Reviewing and analyzing business processes.
* Identifying and documenting risk management issues.
* Testing key controls within business processes.
* Preparing written reports and delivering oral presentations.
* Operating standard office equipment and using required software applications.
* Lead the work of others.
* Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
* Incorporate needs, wants and goals from different business unit perspectives into operational audit plans and recommendations.
* Attend to detail while maintaining a big picture orientation.
* Gather information, identify linkages and trends and apply findings to assignments.
* Motivate and persuade others to achieve desired outcomes without organizational authority.
* Interpret and apply policies and identify and recommend changes as appropriate.
* Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
* Meet tight deadlines within budgeted hours.
* Communicate effectively, both orally and in writing.
* Read, interpret and apply information from business periodicals and professional journals.
* Work independently as well as collaboratively or in a leadership role in a team environment.
* Lead others in providing a high level of customer service
* Establish and maintain effective working relationships at all levels of the organization.
EDUCATIONAL/PREVIOUS EXPERIENCE REQUIREMENTS:
Bachelor's Degree in Business Administration, Accounting, Finance or related field with a minimum of 10 years of auditing or related experience.