AVP – Compliance Audit

Full Time

Sits in Internal Audit Department

AVP – Compliance Audit
The incumbent will support the oversight, design, and execution of audit coverage and validation for the Bank’s US AML program consisting of the Bank Secrecy Act, the US Patriot Act, and other AML, OFAC, and related regulatory requirements (“AML program”) and the compliance program. S/he will drive audit and validation program enhancements; prompt, oversee and reports on corrective action; update audit strategy and program; improve audit toolset; and build expert knowledge.

Job Responsibilities

  • Drive audit and validation program enhancements
  • Review and assist with audit coverage of AML and sanctions (OFAC) consent order validation programs
  • Review design and execution of Audit Tests/Audit Validation of AML program and related Consent Order Requirements
  • Perform assigned audits including executing approved audit programs and questionnaires
  • Review audit workpapers covering planning and fieldwork; provide subject matter expertise
  • Ensure delivery of complete and timely audit reports and IA feedback
  • Prompt, oversee and reports on corrective action:
  • Evaluate management action plans; direct and/or perform IA issue tracking
  • Follow-up with business and compliance managers and their teams to ensure issues are resolved
  • Coordinate with key stakeholders to identity emerging issues affecting the US operation
  • Update audit strategy and program
  • Design and ensure implementation of continuous monitoring of AML program
  • Improve audit toolset
  • Recommend improvements for departmental performance
  • Build expert knowledge
  • Provide feedback for auditor professional development plans specific to AML and compliance


We are looking for someone with a Bachelor’s degree or above with at least 5 years of work experience in a
compliance, compliance testing or audit role at large banking organizations, or regulatory experience in a senior management role in compliance, AML, or sanctions. An ideal candidate should have excellent communication and interpersonal skills, and experience as an auditor, consultant, bank examiner, or compliance professional with a strong understanding of BSA, AML, and OFAC. Knowledge in Commercial Banking products including trade finance, USD clearing, correspondent banking is desired. JD Law degree or CAMS certification preferred.

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