BSA/AML Regulatory Issue Verification – Internal Audit (5 roles) /// NYC,NY | Baltimore or Remote
SatyaKeysoft
BSA/AML Regulatory Issue Verification – Internal Audit (5 roles)
NYC,NY | Baltimore or Remote
6 Months
Experience (in years): 10+ years in Regulatory audit for large U.S. banks (JPM,
Morgan Stanley, Citi, etc.) or International Financial Institutions (HSBC,
Barclays, UBS, DB, etc.)
Summary:
Seeking
a team of regulatory auditor with experience performing audit closure
verification testing and BSA/AML subject matter expertise. The roles require
knowledge of BSA/AML controls including suspicious activity monitoring and
reporting, and customer due diligence (onboarding, customer risk ranking,
enhanced due diligence (EDD)).
Scope and Deliverables:
· Oversee completion of closure verification testing of junior auditors
performing design and operational effectiveness testing of Fed/OCC issue
remediation actions
· Perform design and operational effectiveness testing of Fed/OCC issue
remediation actions
· Interact with management action owners
· Assess documentation of action plan completion
· Select and test operational instances of new and enhanced controls supporting
action plan completion
Skillsets Required:
· Advanced understanding of audit issue verification techniques
· Experience with US regulatory expectations
· Advanced understanding of suspicious activity monitoring controls (i.e.
automated monitoring and case management systems; AML risk typologies;
transaction alert creation and disposition; financial crimes investigations;
SAR reporting; policies and procedures; program governance)
· Advanced understanding of customer due diligence (i.e. customer onboarding
workflows; customer risk assessments; CIP/CDD/EDD regulatory and industry
expectations; periodic reviews; ongoing customer activity reviews; policies and
procedures; program governance)
Regards,
Satya
Technical Recruiter
Key Business Solutions, Inc|| Office: 916 646 2080 Ext 216 || Fax: 916 646 2081 || Email: sa...@keybusinessglobal.com || Website: www.key-soft.com || Yahoo IM/G Talk: satyakeysoft
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