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- Independently carry out audit planning and fieldwork, following the guidelines provided by the Lead Auditor, within defined time frames and in accordance with Internal Audit standards and methodologies.
- Conduct preliminary assessments of audited activities, identifying associated risks and controls, and perform interviews, testing, and analysis to evaluate the effectiveness of planned controls.
- Assess the financial security risks of audited activities, including Banking Secrecy Act (BSA)/Anti-Money Laundering (AML), Know Your Customer (KYC), and International Sanctions, and identify relevant controls and their impact.
- Prepare clear, accurate, and comprehensive audit workpaper documentation, detailing test work performed, testing methodology, sampling approach (if applicable), findings, recommendations, and expected deliverable.
- Identify and report on strengths and weaknesses within audited areas, analyze root causes and risk impacts of identified weaknesses, develop remediation strategies and recommendations, and assess the effectiveness of control setups and business practices.
- Present audit conclusions to management, including IGE management and the management of the audited unit, through debriefing presentations, final audit reports, etc.
- Keep the Lead Auditor and Local Head of Audit informed of audit progress, escalate any issues impacting or delaying audit execution in a timely manner, and discuss relevant information on assigned audits and the risk and control environment.
- Collaborate with stakeholders, including compliance officers, internal auditors, and senior management, to address anomalies and findings identified during audits.
- Ensure proper archiving of supporting documentation, audit evidence, and deliverable using designated IGE tools.
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.The Successful Applicant
The Compliance Auditor Consultant should have the following background:
- Knowledgeable of banking and regulatory expectations on the subject.
- Working knowledge of audited topics relating to BSA/AML and Sanctions.
- Must have prior audit experiences in assessing and auditing Financial Security risks within Banking sectors, as well as a strong knowledge of US local regulation regarding BSA/AML, KYC, and International Sanctions.
- Team oriented with strong communication skills, both verbal and written, paying attention to details with the ability to prioritize and meet competing deadlines.
- Must be self-sufficient to operate as an individual and contribute as a team to deliver quality audit work. What's on Offer
The Compliance Auditor Consultant will be paid on a DAILY RATE and will be required to be on site 3 days/week.
Compliance Auditor Consultant - Manhattan, United States - Michael Page
Description
About Our Client
Our client is a french investment bank located in New York, NY. They primarily focuses on providing corporate and investment banking services to clients. These services may include investment banking, corporate finance, capital markets, structured finance, and advisory services. The New York office likely serves a wide range of clients, including corporations, financial institutions, governments, and institutional investors.
Job Description
The Compliance Auditor Consultant will be responsible for the following: