Enterprise AML Audit Director | Global Transformation Lead

RBC Capital Markets, LLC; Charlotte (NC); On-site; USD 170,000 - 280,000; Full time

Benefits offered by this job

401(k) with company matching

Health, dental, vision

Paid time off

Coaching and development opportunities

Job summary

RBC Capital Markets, LLC seeks a senior audit leader for Enterprise AML & Financial Crimes, overseeing independent assurance of AML, sanctions and ABAC programs across regions. The role drives governance, regulatory validation, and transformation initiatives under the CAMLO, coordinating with US and non‑US portfolios and engaging regulators as needed.

The position requires 12–15 years in financial sector audit with IT focus, strong communication, and deep US regulatory knowledge.

Qualifications

• 12–15 years of experience in financial sector audit with IT focus
• Undergraduate degree required
• Excellent communication skills
• Accountability, leadership, initiative, teamwork, change agent and impact and influence
• Risk management and audit expertise
• In-depth knowledge of US regulatory landscape and strong working background with US regulators
• Strong analytical, communication, strategic and creative mindset with execution ability
• High level of general management skills: leading, negotiating, teamwork
• Experience interacting with executives and senior management; maintain relationships with IA staff, partners and regulators
• Strong analytical, communication, computer, and interpersonal skills

Responsibilities

• Provide independent and objective evaluation of the adequacy and effectiveness of the Global FC&AML program with focus on the TOM under the CAMLO
• Evaluate FC&AML controls at the Enterprise level for regulatory compliance
• Oversee the Global AML Transformation Program and governance processes
• Oversee validation of regulatory issues and regulator engagement
• Support reporting to senior committees and executives
• Collaborate with US and non‑US portfolios to ensure continuity and consistency
• Lead teams of auditors across US and Canada to cover AML, sanctions, ABAC and related programs
• Assist in audit planning and risk monitoring
• Present to senior stakeholders and regulators
• Identify resources and manage engagement staff
• Coordinate with IT and other audit groups to plan and execute

Skills

Auditing

Leadership

Communication

Risk Management

Regulatory Knowledge

Stakeholder Management

Interpersonal Relationship Management

Strategic Thinking

Organizational Savvy

Education

Undergraduate degree

Job description

RBC Capital Markets, LLC seeks a senior audit leader for Enterprise AML & Financial Crimes, overseeing independent assurance of AML, sanctions and ABAC programs across regions. The role drives governance, regulatory validation, and transformation initiatives under the CAMLO, coordinating with US and non‑US portfolios and engaging regulators as needed.

The position requires 12–15 years in financial sector audit with IT focus, strong communication, and deep US regulatory knowledge.