Internal Audit Compliance And Financial Crime Avp
Current- Assess risks to the bank based on an analysis of the design and operational effectiveness of controls managed by business lines across Compliance, Financial Crimes, Fraud, and Conduct disciplines via standard and targeted audits- Develop planning and scoping documentation (via Audit Planning Document, Audit Scoping Memo, and Control Objective Matrix) and prepare work papers and other audit deliverables (such as draft Audit Reports and Issues Matrices) for senior management review- Manage key aspects of the audit lifecycle via stakeholder engagement such as scheduling control walkthroughs and maintenance of outstanding sampling requests/control clarifications to ensure adherence to strict audit closure deadlines- Validate issues raised by the business lines (via self-identified issues), internal audit raised issues, and issues raised as the result of regulatory exams (including Matters Requiring Immediate Attention and Matters Requiring Board Attention)- Compile and disseminate audit materials, such as internal audit plan, methodology, details of completed audits and risk assessments, in support of annual regulatory exams in response to First Day Letters and supplemental follow up requests from federal and state regulators including the Federal Reserve Bank of New York, Federal Deposit Insurance Corporation, and New York State Department of Financial Services- Conduct risk assessments of auditable entities based on periodic engagement with senior management business stakeholders through continuous monitoring- Mentor junior auditors and interns on audit methodology requirements, financial crime risks, and compliance frameworks
