AFC Regulatory Exam And Internal Audit Management

Full Time

Madison-Davis Client

Overview

You will focus on Anti-Financial Crime (AFC) Regulatory Exam and Internal Audit Management in the Americas region, as well as any third-party reviews including monitors. Critical responsibilities include daily management of sanctions and anti-money laundering (AML) robust exam management program that proactively ensures compliance with management expectations.

Key Responsibilities:

  • Develop internal protocol and program structure for AFC Americas Exam Management, including development of strategic approach, interaction model, governance, and senior management briefings
  • Document Exam Management processes, workflows and guidance to evidence proper governance of program functions
  • Interface with regulatory agencies including FRBNY, SEC, NYSDFS, OCC and other regulatory third-party reviewers
  • Manage junior staff responsible for day-to-day coordination of the examination meetings and on-site reviews ensuring timely and complete delivery of requested documentation; provide relevant approvals and supporting documentation within the examination tracker
  • Develop technical solutions to advance processes to track and retain documentation relating to internal and external examinations of AFC Americas
  • Responsible for quality of material prepare for management communication; lead succinct and transparent senior management updates on a regular basis

Your Skills and Experience:

  • Bachelor’s Degree or equivalent; JD or MBA a plus and exam management, audit management or relevant experience
  • Highly professional demeanor with excellent communication skills (verbal and written)
  • Experience in leading exam management protocols, or similar experience
  • Experienced in interactions with regulatory authorities, with a seasoned knowledge of regulatory expectations and industry best practices
  • Knowledge in AFC laws, regulations and industry best practices

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