Enterprise AML & Financial Crimes Audit Lead

RBC Capital Markets, LLC; Jersey City (NJ); On-site; USD 120,000 - 190,000; Full time

Benefits offered by this job

401(k) with company matching

Health, dental, vision insurance

Paid time off

Job summary

RBC Capital Markets, LLC in Jersey City, NJ, is seeking a senior auditor to join the Enterprise AML & Financial Crimes Audit team. The role focuses on independent assurance of AML/FC programs and internal controls across regions.

You will lead audit coverage, supervise staff, collaborate with global AML teams, and engage regulatory matters while advancing RBC's risk management and control environment.

Qualifications

• 7+ years of experience in financial services internal audit (preferably Banking)
• 7 or more years of experience in AML Internal Audit

Responsibilities

• Assist the Director in the execution of audits of the Enterprise Financial Crimes Target Operating Model (TOM) functions, including sanctions, investigations, governance, high-risk client reviews, anti-bribery
• Assist in leading coverage of the global AML transformation program, including through performance of ongoing pre-go-live, design testing, implementation testing, and governance projects
• Assist in performing special targeted reviews of Enterprise AML functions through continuous assurance and AI-driven analytics
• Assist in execution of strategic functions for AML audit functions globally, including issues-management, reporting, risk assessments, and coverage strategies
• Perform validation of non-US AML regulatory issues
• Oversee the work performed by auditors for projects covering BAU audit engagements, regulatory issue validations, and Transformation Program-driven special engagements
• Collaborate with peers leading other AML audit portfolios globally to facilitate consistency and appropriate handoffs in scope
• Present/engage with stakeholders and IA management
• Oversee junior staff assigned to the engagement and review audit work for sufficient scope and for accuracy
• Cooperate with other audit groups (e.g. IT, model-risk) to effectively plan and execute.
• Execute annual and risk-driven audits and regulatory issue validations, including integrated into business, IT, or model-led audits/regulatory issue validations in accordance with applicable Internal Audit methodologies and coverage strategies
• Assist in development and implementation of AML continuous assurance activities to support and supplement audits throughout the year
• Participate in discussions with and respond to requests from relevant regulatory bodies.

Skills

Adaptability

Auditing

Commercial Acumen

Detail-Oriented

Internal Controls

Interpersonal Relationship Management

Multi-Level Communication

Organizational Savvy

Results-Oriented

Waterfall Model

Job description

RBC Capital Markets, LLC in Jersey City, NJ, is seeking a senior auditor to join the Enterprise AML & Financial Crimes Audit team. The role focuses on independent assurance of AML/FC programs and internal controls across regions.

You will lead audit coverage, supervise staff, collaborate with global AML teams, and engage regulatory matters while advancing RBC's risk management and control environment.