AML Audit Manager

Scotiabank - Global Banking and Markets; Dallas (TX); In loco; USD 120.000 - 160.000; Tempo pieno

Descrizione del lavoro

Scotiabank, Global Banking and Markets in Dallas, seeks an Audit Manager to support the U.S. AML program across risk monitoring, testing and reporting.

You will work with management, plan audits, and deliver high-quality advisory services while upholding IIA ethics and audit standards. The role requires deep AML knowledge, risk management and audit experience in capital markets, with the ability to communicate findings to executive management and drive process improvements in a fast-paced

Competenze

• MBA, CFA, ACAMS / CAMS and/or CIA are technical/professional qualifications.
• 4-6 years of progressive experience in capital markets AML control environment.
• Strong knowledge of AML, risk management and audit functions; prior auditing experience is an asset.
• Excellent written and verbal communication skills are essential; presenting to executive management is expected.

Mansioni

• Assist the Officer in Charge (OIC) with audits, including testing and documentation.
• May act as OIC for low to medium complexity audits.
• Collaborate with other audit teams as required.
• Plan, execute and report on audits; develop risk-based approaches and allocate resources.

Conoscenze

AML knowledge

Audit experience

Regulatory knowledge

Written communication

Formazione

MBA

CFA

ACAMS / CAMS

CIA

Descrizione del lavoro

Global Banking and Markets

Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. Scotiabank’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world.

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.

Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries! We work together to drive ambition for every future!

Purpose

The Audit Manager contributes to the overall success of the Audit Function in support of the Audit Department executing its global mandate, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives.

The successful candidate will have a thorough understanding of the AML and BSA requirements, including but not limited to the Bank Secrecy Act and OFAC regulations, guidance, and regulatory expectations. The candidate will perform AML audits to assess the design and operating effectiveness of internal controls relating to risk monitoring, challenge, and reporting activities within the U.S and are in compliance with governing regulations, internal policies, and procedures.

The incumbent will be required to work as part of the team and assist the Director, U.S. AML Audit to provide audit services over the U.S. AML program. The incumbent should be able to apply risk-based auditing standards, frameworks, practices, techniques, processes and methodologies, and regulatory guidelines to the performance and review of audits, including providing high quality, value-added advisory services to Management as part of audits or special projects/assignments, while ensuring that audit methodology standards are met.

What You’ll Do

• Supports the Officer in Charge (OIC) with the execution for assigned audits. This includes completion of audit testing, discussions with management and documentation of work performed.
• May act as Officer-In-Charge (OIC) of low to medium complexity for assigned audits.
• Works with other audit teams as required.
• Executes, plans and reports on the assigned audits. Obtains a thorough understanding of the business/unit/ process and associated risks, develops an appropriate risk-based audit approach, and schedules timing and resources.
• Deliver end-to-end process of the execution of the audit and ensure nature and extent of testing is appropriate to support the objective, scope, and overall opinion. Completes timely review of workpapers, ensures internal control weaknesses are clearly documented with recommendations addressing the root cause and are communicated timely to management. Drafts reports and issues. Presents audit results and findings for presentation to management.
• Champions a client focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
• Understands how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Ensures Scotiabank standards and the Institute of Internal Auditors (IIA) Code of Ethics are maintained in completion of all assignments.
• Stays informed on emerging risks, regulatory changes, and industry trends. Conveys risk-related information to Officer-in-Charge or Audit Principal and senior management.
• Maintains stakeholder relationships to successfully carry out audit activities.
• Champions a high-performance environment and contributes to an inclusive work environment.
• Meets Department training requirements.
• Manage self-development by confirming/communicating job expectations, identifying mentors/coaches and enquiring about training needs, ensuring timely completion of performance appraisals and manages assigned staff.

What You’ll Bring

• Technical/Professional qualifications such as MBA, CFA, ACAMS / CAMS and/or CIA.
• 4-6 years of progressive experience in capital markets AML control environment.
• Strong knowledge of AML and risk management functions, and audit functions. Prior auditing experience in these areas. Exposure in working with AML management personnel would be an asset.
• Strong analytical skills necessary to assess risk exposures and understand risk quantification and valuation methodologies.
• Ability to quickly understand the risks associated with new products, processes, routines and formulate audit procedures to ensure that the controls are adequate.
• The incumbent must possess expert time management skills in order to manage multi-functional accountabilities through prioritization, delegation, motivation, conflict resolution and the promotion of ideas.
• Excellent written communication skills are essential, with superior issue and audit report writing skills. In addition, the incumbent should be skilled at verbal engagement and presentation, of a caliber suitable for direct exposure to executive management.

What’s in it for you?

Scotiabank wants you to be able to bring your best self to work – and life, every day. With a focus on holistic well-being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs.

#Dallas

#GBM